Tidal Financial Group
1940 Act Attorney
Tidal Financial Group, Chicago, Illinois, United States, 60290
The Tidal Financial Group is a leading ETF investment technology platform dedicated to creating, operating, and growing ETFs. We combine expertise and innovative partnership approaches to offer comprehensive, value-generating ETF solutions.Our platform offers best-in-class strategic guidance, product planning, trust and fund services, legal support, operations support, marketing and research, and sales and distribution services.About the role
The primary purpose of the 1940-act attorney role is to work effectively with internal stakeholders and clients to provide counsel and guidance on relevant legal matters as they relate to 1940-act regulated investment companies (primarily ETFs). Specifically, this role will focus on drafting, reviewing, and filing prospectuses for our ETF clients and managing their successful approval by both external trust counsel and the SEC. The Tidal Legal team provides high quality, value-added legal counsel, and experience fostering strong relationships with internal business teams, external clients, and third-party firms. This position collaborates closely with these stakeholders to establish an efficient process for launching and ensuring the continued operation of ETFs.What you'll do
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.Engage in consultative business and investment solution activities to develop and strengthen existing relationships.Review, research, interpret, and provide both written and oral views on a wide variety of legal issues facing Tidal.Draft, review, and approve policies, procedures, regulations, bylaws, and other legal documents.Prepare relevant filings and documents for new Tidal-provided services, such as the creation of new trusts, and drafting proxy and information statements (and related documentation).Draft and negotiate contracts, including ISDAs, ACAs, and other relevant agreements.Perform miscellaneous job-related duties as assigned.Qualifications
Minimum four years’ experience as a 1940 Act attorney.A J.D. and membership (or anticipated membership) in the bar of at least one state are required.Experience at a major U.S. law firm or with an in-house legal department.Experience and knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940.Experience with ISDAs, ACAs, and 1933 Act Funds is a plus.Proficiency in written communication skills, including drafting documents using “plain English” principles.Proficiency in oral communication skills, whether the audience is comprised of clients or internal stakeholders.Client service skills with an aptitude for understanding the clients’ basic legal needs and how they are related to the clients’ business needs.Ability to organize and prioritize work, assisting in the coordination of the work of other team members.Ability to multi-task while maintaining careful attention to detail.Ability to work with a sense of urgency to meet deadlines and address competing priorities.Work from home! Tidal is a fully remote organization. Employees who live in proximity to Tidal’s Milwaukee, Chicago, Detroit, and New York offices have the option to work in the office as their schedule allows.
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The primary purpose of the 1940-act attorney role is to work effectively with internal stakeholders and clients to provide counsel and guidance on relevant legal matters as they relate to 1940-act regulated investment companies (primarily ETFs). Specifically, this role will focus on drafting, reviewing, and filing prospectuses for our ETF clients and managing their successful approval by both external trust counsel and the SEC. The Tidal Legal team provides high quality, value-added legal counsel, and experience fostering strong relationships with internal business teams, external clients, and third-party firms. This position collaborates closely with these stakeholders to establish an efficient process for launching and ensuring the continued operation of ETFs.What you'll do
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.Engage in consultative business and investment solution activities to develop and strengthen existing relationships.Review, research, interpret, and provide both written and oral views on a wide variety of legal issues facing Tidal.Draft, review, and approve policies, procedures, regulations, bylaws, and other legal documents.Prepare relevant filings and documents for new Tidal-provided services, such as the creation of new trusts, and drafting proxy and information statements (and related documentation).Draft and negotiate contracts, including ISDAs, ACAs, and other relevant agreements.Perform miscellaneous job-related duties as assigned.Qualifications
Minimum four years’ experience as a 1940 Act attorney.A J.D. and membership (or anticipated membership) in the bar of at least one state are required.Experience at a major U.S. law firm or with an in-house legal department.Experience and knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940.Experience with ISDAs, ACAs, and 1933 Act Funds is a plus.Proficiency in written communication skills, including drafting documents using “plain English” principles.Proficiency in oral communication skills, whether the audience is comprised of clients or internal stakeholders.Client service skills with an aptitude for understanding the clients’ basic legal needs and how they are related to the clients’ business needs.Ability to organize and prioritize work, assisting in the coordination of the work of other team members.Ability to multi-task while maintaining careful attention to detail.Ability to work with a sense of urgency to meet deadlines and address competing priorities.Work from home! Tidal is a fully remote organization. Employees who live in proximity to Tidal’s Milwaukee, Chicago, Detroit, and New York offices have the option to work in the office as their schedule allows.
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