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Vice President, Legal Counsel-Capital Markets

San Francisco, CA

As Corporate Counsel, you would be a valuable member of our Legal and Compliance Group, working with multiple business teams to develop investment management products and business solutions that align with the numerous regulatory and legal requirements to which ETFs are subject. Our Legal and Compliance team is responsible for a variety of matters across our organization, including but not limited to:


 Handling regulatory matters

 Assisting with product development and structuring

 Drafting and updating SEC registration statements

 Shareholder communications and related risk disclosures

 Negotiating service provider and client contracts

 Providing ongoing legal advice to the business regarding new and existing products and strategies

 Establishing policies and procedures that meet applicable regulatory requirements

 Testing the operative effectiveness of those policies and procedures

 Conducting related trainings

 You will be expected to lead and handle, across a wide variety of business and operations teams, regulatory, compliance and business issues, as well as, risks associated with the management and operations of the ETFs, including:


 1940 Act registration and compliance

 SEC filings for registered investment companies

 Development of new products

 Key business initiatives

 Other special projects as assigned.


To ensure success you will possess the following qualifications:

 A J.D. with outstanding academic credentials from a nationally-recognized law school and four to six years' experience as a lawyer in a major law firm or the legal department of an asset manager, investment bank or other leading organization.

 Experience in asset management and advising mutual funds, ETFs and/or other collective investment products. Knowledge of the Investment Advisers Act, Investment Company Act of 1940, the Securities Act of 1933 and Securities Exchange Act of 1934 strongly preferred; broker-dealer and/or capital markets issues experience a plus.

 Strong organizational skills and ability to lead multiple time critical matters in a fast-paced, dynamic and fluid environment.

 Shown ability to handle complex and sophisticated projects involving different business groups and to assist the business in implementing solutions across the broad range of products and services.

 Validated business insight and solution oriented approach to interacting and working with clients.

 Excellent analytical, written and oral communication skills.

 Ability to establish positive relationships and build rapport.

 An affinity for teamwork and to contribute as a valued partner

 Capacity to pursue problems in a practical manner and to communicate complex concepts in an understandable way.

 Reviewing and watching work completed by external counsel

Very competitive salary and benefits!
Great company to work for!
Full relocation package is available!
Don't miss out! Apply now and we'll be in touch immediately with more specific details, salary information and to answer any questions!!

This position does NOT provide sponsorship so please do NOT apply if you require sponsorship.  Thank You

KP Recruiting Group 
"Bringing Talent to the Marketplace"

KP Recruiting Group is a well established and very respected recruiting firm.  We have built a strong reputation as a premier resource for providing highly qualified candidates for our clients.  We are very experienced in many industries and have a wide range of clients.  We will serve as your advocate during your career search!  Let us do the work for you!  There is never a fee for our services!

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