1940 Act Attorney

February 11

Apply Now

Receive Emails with Similar Jobs

Tidal Financial Group

WebsiteLinkedInAll Job Openings

The Tidal Financial Group is a leading ETF investment and technology platform facilitating the creation, operation, and growth of ETFs. Tidal combines expertise and innovative approaches in the collaborative design of ETFs and other groundbreaking financial products with its partners. As a holistic platform, Tidal partners with the investment community to build ETFs that seek to generate value. Tidal is the collaborative partner to over fifty-five (55) leading ETFs overseeing $6.5bn+ in assets as of 10/28/2022. Tidal has a 40+ team and Locations in New York, Chicago, Milwaukee, and Detroit.

Trust Services • Strategy & Planning • Product Development • Marketing • Business Development

51 - 200 employees

📋 Description

• Provide legal counsel and guidance on all legal matters relevant to SEC-registered investment advisers, investment companies, and fund administration firms. • Support Tidal clients by drafting registration statements, annual updates, and other required documentation with a focus on ensuring investment strategy descriptions are clear, accurate, and compliant with regulatory requirements. • Draft principal investment strategies and risk disclosures for Funds that use complex strategies, including those that extensively use derivative instruments. • Engage in consultative business and investment solution activities to develop and strengthen existing relationships. • Review, research, interpret, and provide both written and oral guidance on a wide variety of legal issues facing Tidal. • Prepare filings and documents for new Tidal-provided services, such as creating new trusts and drafting proxy and information statements (and related documentation). • Perform miscellaneous job-related duties as assigned.

🎯 Requirements

• Minimum four years’ experience as a 1940 Act attorney. • Experience gained at a major U.S. law firm is preferred. • A J.D. and membership (or anticipated membership) in the bar of at least one state are required. • Experience and knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940. • Experience working exclusively or predominantly in the 1940 Act space is a strong plus. • Proficiency in written communication skills, including the ability to draft documents using “plain English” principles. • Proficiency in oral communication skills, whether addressing clients or internal stakeholders. • Client service skills with an aptitude for understanding clients’ basic legal needs and how they align with their business objectives. • Ability to organize and prioritize work while coordinating with other team members. • Ability to manage multiple tasks simultaneously, maintaining careful attention to detail. • Ability to work with a sense of urgency to meet deadlines and address competing priorities.