1940 Act Attorney

🕒 April 1

Apply Now

Find Similar Remote Jobs

Receive Emails For Remote Jobs

📊 Check your resume score for this job

Improve your chances of getting an interview by checking your resume score before you apply.

Upload Resume

Tidal Financial Group

WebsiteLinkedInAll Job Openings

51 - 200 employees

Founded 2012

💸 Finance

💳 Fintech

📋 Compliance

Finance • Fintech • Compliance

Tidal Financial Group is a leading ETF investment and technology platform that specializes in managing exchange-traded funds (ETFs). With over 193 funds and $30 billion in assets under management, Tidal partners with various issuers to help clients successfully launch, manage, and grow their ETFs. The company offers a full suite of services, including strategy planning, regulatory compliance, portfolio management, and marketing, positioning itself as a premier choice in the ETF industry.

📋 Description

• 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 with a focus on ensuring investment strategy descriptions are clear, accurate, and compliant with regulatory requirements. • Draft principal investment strategies and risk disclosures for Funds that use complex strategies, including those that extensively use derivative instruments. • Engage in consultative business and investment solution activities to develop and strengthen existing relationships. • Review, research, interpret, and provide both written and oral guidance on a wide variety of legal issues facing Tidal. • Prepare filings and documents for new Tidal-provided services, such as creating new trusts and drafting proxy and information statements (and related documentation). • Perform miscellaneous job-related duties as assigned.

🎯 Requirements

• Minimum four years’ experience as a 1940 Act attorney. • Experience gained at a major U.S. law firm is preferred. • A J.D. and membership (or anticipated membership) in the bar of at least one state are required. • Experience and knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940. • Experience working exclusively or predominantly in the 1940 Act space is a strong plus. • Proficiency in written communication skills, including the ability to draft documents using “plain English” principles. • Proficiency in oral communication skills, whether addressing clients or internal stakeholders. • Client service skills with an aptitude for understanding clients’ basic legal needs and how they align with their business objectives. • Ability to organize and prioritize work while coordinating with other team members. • Ability to manage multiple tasks simultaneously, maintaining careful attention to detail. • Ability to work with a sense of urgency to meet deadlines and address competing priorities.

🏖️ Benefits

• None specified