Counsel Investments amp Compliance etfs

Profile

Counsel, Investments & Compliance
The candidate will support the firm’s portfolio management and trading groups, which includes analyzing U.S. and international law and requirements under client or counterparty contracts, reviewing brokerage arrangements, drafting trading and derivatives agreements, and assisting risk management and other groups that have responsibility for oversight of the portfolio management and trading functions. Will support the offering of proprietary ETFs, including support for the firm’s capital markets function, review of ETF-specific compliance policies and procedures, and coordination with the legal team members that are responsible for fund board meetings and fund registration statement filings. Review and analyze policies and procedures in the fund companies’ 38a-1 compliance program and the adviser’s 206(4)-7 compliance program. Assist compliance, portfolio management, trading and other departments in the interpretation and application of the firm’s compliance policies and procedures. Prepare and, when requested, present materials such as memoranda, agendas, and meeting minutes for internal meetings, committee meetings, or the meetings of the Board of Directors of the firm, its subsidiary companies and/or its fund complexes. Work with and oversee the work provided by outside counsel on a variety of legal matters ensuring that standards for service delivery and cost are met.

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