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Posted 3 hours ago
Senior Regulatory Counsel (Securities)
ProSharesSenior Regulatory Counsel (Securities)
Perks & benefits
Paid LeaveHealth InsuranceMedical Insurance
Requirements
JD degree, U.S. state bar membership, 12+ years asset management experience, Knowledge of 1933 and 1934 Securities Acts, Knowledge of 1940 Investment Company Act
Skills
Compliance
About the role
About the Company
ProShares is a leading sponsor of exchange traded funds, managing one of the industry’s most innovative and diverse sets of ETFs, mutual funds, and commodity pools. With over $100 billion in assets, ProShares is a leader in sophisticated investment strategies across all major asset classes.
Responsibilities
- Deliver timely, pragmatic, and business-oriented legal counsel to senior management
- Identify and evaluate legal and business risks to support strategic decision-making
- Structure, develop, and launch registered securities offerings, including commodity ETFs, interval funds, and mutual funds
- Lead the preparation, review, and maintenance of registration statements, prospectuses, and periodic reports (10-Ks, 10-Qs)
- Support business development and product development initiatives with proactive legal guidance
- Oversee communications and coordination with the SEC, CFTC, NFA, and FINRA
- Draft, negotiate, and review agreements with fund service providers, including custodians, administrators, and underwriters
- Manage and coordinate with outside counsel to optimize resources
Requirements
- JD and membership in good standing with a U.S. state bar
- 12+ years of relevant experience in the asset management industry
- Deep knowledge of the Securities Act of 1933 and Securities Exchange Act of 1934
- Demonstrated experience managing registered securities offerings
- Working knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, and commodities regulation
Preferred Qualifications
- Experience representing issuers, investment advisers, underwriters, or broker-dealers on fund-related matters
- Prior experience at the SEC
- Experience with corporate transactions such as reorganizations, acquisitions, or mergers
Benefits
- Competitive pay and discretionary bonus
- Health care benefits (medical, dental, and vision)
- 401(k) retirement plan with matching contribution
- Wellness programs and education assistance
- Hybrid work schedule
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Get started — it's freeSenior Regulatory Counsel (Securities)
ProShares · Bethesda
