1940 Act Attorney at Tidal Financial Group | Torre
1940 Act Attorney
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Tidal Financial Group

1940 Act Attorney

Tidal Financial Group
Emma
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You'll shape the future of ETFs by providing expert 1940 Act counsel and guiding complex fund strategies.
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Full-time

Legal agreement: Employment

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Remote (for United States residents)
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Posted 4 months ago

Requirements and responsibilities

About the roleThe 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 related to 1940 Act-regulated investment companies (primarily ETFs). Specifically, this role focuses on drafting, reviewing, and filing prospectuses for ETF clients and managing their successful approval by both external trust counsel and the SEC.What you'll doProvide 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 assignedQualificationsThe successful candidate will have the following skills and experience: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.
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