Counsel/In House/Shelton, Connecticut

Company Name:
Vice President, Corporate Counsel
The candidate will provide legal and regulatory support for the mutual funds advised by PI. Primary responsibility will be to support the mutual funds sold to insurance company separate accounts for variable annuity and variable life insurance products. There will be occasional travel to both offices. Provide legal advice to internal business clients on investment company, investment advisory and regulatory issues in developing new funds and supporting existing funds, including funds that are underlying investment options for insurance products. Draft and prepare mutual fund Board materials and attend and be a participant at fund Board meetings. Draft and prepare documents for registration and regulatory compliance for mutual funds; liaison with outside counsel and internal mutual fund administration team; be responsible for SEC filings, including interacting with the SEC staff. Keep abreast of new laws and regulatory developments; draft update memos for Law Department and business clients. Provide legal support for responses to regulatory inquiries. Coordinate with Compliance Department to develop standard operating procedures to implement advice on regulatory issues for the funds and investment advisers. Review and draft sales literature for the mutual funds; coordinate with Marketing and Compliance departments to address any FINRA comments. Negotiate third-party agreements for the funds. Review derivative agreements including collateral control agreement, Provide legal support for responses to requests-for-proposal and due diligence requests.

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