Principal Financial Group (’40 Act)

National search, complete relocation package offered.  Principal Financial Group in Des Moines, Iowa, seeks a veteran ’40 Act attorney.  Details:

Attorney with a minimum of ten years of experience serving a mutual fund complex and having significant expertise relating to the Investment Company Act, the Investment Advisers Act, the Commodity Exchange Act, FINRA rules, broker-dealers, transfer agents and related regulatory filings (including registration statements, proxy statements, periodic reports, exemptive applications and no-action letters); working with and communicating clearly, promptly and authoritatively with the Securities and Exchange Commission, FINRA, CFTC and state insurance reviewers and examiners as well as mutual fund and variable contract accountants, compliance administrators, portfolio managers, operations staff, distribution staff, shareholder servicing staff and other members of fund management; advising the board of directors of mutual funds and ETFs; leading a team of lawyers that serves as the legal resource for a mutual fund complex.

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