- Ivy Exec
- $123,305.00 -123,305.00/year*
10 Bayside Terrace
Provide legal advice and support for the MainStay Group of Funds, a family of open-end and closed-end funds with about $80 billion in assets under management. Counsel clients on regulatory issues, new product initiatives, investment eligibility issues, general legal and corporate governance matters and work closely with the compliance, product development, fund administration and operations teams. Structure, organize, reorganize, merge and liquidate registered investment companies. Draft and review registration statements (prospectuses and Statements of Additional Information), board materials and proxy statements for open-end funds and closed-end funds. Review and update annual and semi-annual shareholder reports, N-CSRs, N-CENs, N-Qs, N-PORTs and other regulatory documents. Prepare Section 16 filings for closed-end funds; prepare and make all necessary filings with New York Stock Exchange. Draft investment management and sub-advisory agreements, and third-party contracts. Provide legal advice and support for the in-house transfer agent. Research and advise on developments in the laws, regulations and practices relating to the funds industry Required Qualifications JD degree Admitted to practice law in New York or New Jersey 10-12 years experience working as a Funds attorney with a law firm and/or another fund complex Expert knowledge of Investment Company Act of 1940 and Investment Advisers Act of 1940 Expertise with alternative mutual funds and closed-end funds
Associated topics: attorney corporate, business, compliance office, corporate attorney, counsel, court, legal, legal affairs, legal department, llp
* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.
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