Senior Contract Attorney

This is a fully remote position, open to applicants in Nebraska.

📋 Description

• Prepare, assess, and negotiate commercial contracts related to fund administration, fund accounting, transfer agency, middle office, distribution, and compliance services.

• Provide counsel to internal stakeholders on contractual risks, regulatory responsibilities, and commercial conditions.

• Offer legal insights regarding the Investment Company Act of 1940, the Investment Advisers Act of 1940, and relevant SEC rules and regulations.

• Assist broker-dealer and investment advisory client relationships with compliance to FINRA and SEC requirements.

• Work together with compliance teams on AML, Regulation S-P, GDPR, DPL, CCPA, CPRA, and associated requirements in contracts and RFI responses.

• Coordinate with external legal counsel on litigation and complex transactional issues.

• Collaborate with commercial, operations, and onboarding teams to ensure contract terms are aligned with operational capabilities.

• Oversee the contract lifecycle from negotiation to execution, including version control, document filing, and administrative close-out.

• Assist with M&A-related contract diligence and integration workflows.

• Execute other tasks as necessary and assigned.

⛳️ Requirements

• J.D. degree from an accredited law school.

• Active bar admission in good standing in at least one U.S. jurisdiction.

• A minimum of five years of experience in drafting and negotiating financial services contracts.

• Proficient understanding of the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933.

• Proven experience in drafting and negotiating intricate commercial agreements within a financial services framework.

• Excellent written and verbal communication skills.

• Capability to manage multiple concurrent projects with competing deadlines in a dynamic environment.

• Equivalent education and experience may be considered.

• Preferred: experience in mutual fund administration, broker-dealer, and registered investment adviser environments.

• Preferred: knowledge of alternative investment funds, business development companies, 3(c)7 exempt ’34 Act registered funds, collective investment trusts, unit investment trusts, UCITS, and ETF structures and mechanics.

• Preferred: previous in-house experience at a fund administrator, transfer agent, or asset manager.

• Preferred: familiarity with AML program requirements, Regulation S-P, GDPR, and related compliance frameworks.

• Preferred: experience in supporting M&A diligence or integration in a financial services setting.

• Ability to regularly sit and stand.

• Ability to occasionally lift and/or move up to 10 lbs.

• Specific vision capabilities are required.

🏝️ Benefits

• Remote or virtual job opportunities available.

• Reasonable accommodations may be provided to enable associates to perform essential functions.

• Occasional travel (approximately 10% or less) may be required.