Lead Legal Counsel

DST Systems   •  

Denver, CO

5 - 7 years

Posted 161 days ago

Job Description:

Organizational Overview

Through its subsidiary companies, ALPS Holdings, Inc. is a leading provider of innovative investment products and customized servicing solutions to the financial services industry. Founded in 1985, Denver-based ALPS delivers its asset management and asset servicing solutions through offices in Boston, Dallas, Miami, New York, San Francisco, Seattle, and Toronto. ALPS is a wholly-owned subsidiary of Kansas City-based DST Systems, Inc. For more information about ALPS and its services, visit www.alpsinc.com. Information about ALPS’ products is available at www.alpsfunds.com.

At DST, we're working hard to help clients in some of the world's most complex industries discover the best experiences and positive outcomes for business. We're also working hard to help over 16,000 global employees discover the best experiences and positive outcomes for themselves and our company. We attract, build, energize, and reward our people by building and deploying strategic programs designed to support a high performance culture that enables DST to best execute its business strategy.

Role Overview

The Lead Legal Counsel is a Denver- based position reporting directly to ALPS’ General Counsel.  This individual will work directly with ALPS’ Registered Funds Services clients as well as with internal teams throughout the ALPS organization.

Responsibilities

  • Advise on investment adviser, mutual fund, ETF and closed-end fund legal matters.
  • Draft and review various mutual fund, ETF and closed-end fund regulatory filings including registration statements on Form N-1A and Form N-2.
  • Prepare board meeting materials for fund boards of directors/trustees and conduct quarterly and special board meetings.
  • Prepare and conduct annual shareholder meetings for clients, including filing proxy statements with the SEC.
  • Prepare and negotiate investment advisory, administration, transfer agency, fund accounting, and distribution agreements.
  • Participate in client onboarding project teams.
  • May manage attorneys and paralegals.
  • Other duties as assigned from time to time

Qualifications

  • Juris Doctorate required with a minimum of four years of experience (7 years preferred) at a law firm or financial services firm advising on Investment Advisers Act, Investment Company Act of 1940 (“1940 Act”) and other federal securities laws. 
  • Ability to advise on '40 Act fund service provider contracts and negotiate contract terms.
  • Demonstrated ability to manage multiple tasks simultaneously and work with minimal supervision.
  • Experience with managing and mentoring of attorneys and paralegals.  Successful demonstration of leadership skills is expected.
  • Excellent verbal and written communication skills with strong ability to communicate with internal and external clients.

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