Investment Management Counsel

WisdomTree - New York, NY (30+ days ago)


WisdomTree is seeking an Investment Management Counsel to join their legal team; this role will report to the General Counsel. The Investment Management Counsel is responsible for providing legal support with respect to WisdomTree’s investment management business in the United States and in certain foreign jurisdictions, as well as specific advice on investment products and related legal issues, with particular focus on matters associated with ETFs.

Responsibilities

Provide proactive advice in addressing legal questions that arise associated with WisdomTree’s investment management business and with the development of innovative products to facilitate the growth of WisdomTree’s ETF business
Facilitate the organization, registration and listing of ETFs in the US under the applicable US securities laws
Facilitate the organization, registration and listing of ETFs in Canada under the applicable Canadian securities laws
Assist in maintaining ETF Board governance, from development to presentation of Board materials.
Facilitate the organization and maintenance of collective investment trusts
Assess requirements associated with promotion and marketing of ETFs in certain foreign jurisdictions.
Negotiate servicing and other agreements related to the investment management, ETF and indexing businesses, including licensing agreements
Skills & Experience

At least 4 years of experience, preferably including experience as both an associate at a leading law firm and as in-house counsel for an investment manager to registered investment companies
Thorough and current knowledge of securities laws applicable to registered investment companies, particularly the Investment Company Act of 1940, and in-depth experience with SEC filings for registered investment companies
Experience with ETFs (including registered commodity pools) a plus
Knowledge of non-US securities laws (particularly Canada), CFTC/NFA regulations and FINRA rules a plus
Strong writing, presentation, & communication skills, including with regulatory personnel
Ability to work independently but also thrive in a team-oriented and solutions driven environment
Demonstrated track record of effectively communicating with diverse business groups
Strong time management & organizational skills.
Ability to effectively manage multiple deadline driven projects
Comfortable working in a fast moving, highly entrepreneurial environment
Certifications

A J.D. degree and member in good standing of a state bar in the United States, including registration as in-house counsel if not a member of the New York bar.