Associate General Counsel, Mutual Funds


Date: Jul 11, 2019

Location: Jersey City, NJ, US

Company: New York Life Insurance Co


A career at New York Life offers many opportunities. To be part of a growing and successful business. To reach your full potential, whatever your specialty. Above all, to make a difference in the world by helping people achieve financial security. It’s a career journey you can be proud of, and you’ll find plenty of support along the way. Our development programs range from skill-building to management training, and we value our diverse and inclusive workplace where all voices can be heard. Recognized as one of Fortune’s World’s Most Admired Companies, New York Life is committed to improving local communities through a culture of employee giving and service, supported by our Foundation. It all adds up to a rewarding career at a company where doing right by our customers is part of who we are, as a mutual company without outside shareholders. We invite you to bring your talents to New York Life, so we can continue to help families and businesses “Be Good At Life.” To learn more, please visit LinkedIn, our Newsroom and the Careers page of


Key Duties and Responsibilities:

  • Provide legal advice and support for the MainStay Group of Funds, a family of open-end and closed-end funds with about $80 billion in assets under management.


  • Counsel clients on regulatory issues, new product initiatives, investment eligibility issues, general legal and corporate governance matters and work closely with the compliance, product development, fund administration and operations teams.


  • Structure, organize, reorganize, merge and liquidate registered investment companies.


  • Draft and review registration statements (prospectuses and Statements of Additional Information), board materials and proxy statements for open-end funds and closed-end funds.


  • Review and update annual and semi-annual shareholder reports, N-CSRs, N-CENs, N-Qs, N-PORTs and other regulatory documents.


  • Prepare Section 16 filings for closed-end funds; prepare and make all necessary filings with New York Stock Exchange.


  • Draft investment management and sub-advisory agreements, and third-party contracts.


  • Provide legal advice and support for the in-house transfer agent.


  • Research and advise on developments in the laws, regulations and practices relating to the funds industry


Required Qualifications:


  • JD degree


  • Admitted to practice law in New York or New Jersey


  • 10-12 years experience working as a Funds attorney with a law firm and/or another fund complex


  • Expert knowledge of Investment Company Act of 1940 and Investment Advisers Act of 1940


  • Expertise with alternative mutual funds and closed-end funds




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Nearest Major Market: New York City
Nearest Secondary Market: Newark

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