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Executive 1940 Act Attorney Jobs (NOW HIRING)

Tidal Financial Group

1940 Act Attorney

About the role We are seeking a junior to mid-level 1940 Act Attorney (2-7 years of experience) to support legal work related to 1940 Act-regulated investment companies, primarily ETFs. This role is ...

ultimus

VP, Legal Counsel

Cincinnati, OH · On-site

A J.D. and membership (or anticipated membership) in the bar of at least one state. * 5 years of experience as a 1940 Act attorney. * Management and leadership experience. KNOWLEDGE * Investment ...

Ultimus Fund Solutions

VP, Legal Counsel

Columbus, OH · On-site

$145K - $200K/yr

A J.D. and membership (or anticipated membership) in the bar of at least one state. * 5 years of experience as a 1940 Act attorney. * Management and leadership experience. KNOWLEDGE * Investment ...

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Executive 1940 Act Attorney information

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$26.5K

$93.6K

$184K

How much do executive 1940 act attorney jobs pay per year?

As of Aug 24, 2026, the average yearly pay for executive 1940 act attorney in the United States is $93,552.00, according to ZipRecruiter salary data. Most workers in this role earn between $58,000.00 and $120,500.00 per year, depending on experience, location, and employer.

What is an Executive 1940 Act Attorney?

An Executive 1940 Act Attorney is a legal professional who specializes in matters related to the Investment Company Act of 1940, which governs the regulation of investment companies and mutual funds in the United States. These attorneys provide legal advice to investment firms, asset managers, and mutual funds to ensure compliance with federal securities laws. Their responsibilities may include drafting regulatory filings, advising on fund structuring, and representing clients in dealings with the Securities and Exchange Commission (SEC). They often hold senior or executive-level positions within law firms or financial institutions.

What are the key skills and qualifications needed to thrive as an Executive 1940 Act Attorney?

To thrive as an Executive 1940 Act Attorney, you need deep knowledge of the Investment Company Act of 1940, securities law expertise, and a Juris Doctor (JD) degree with bar admission. Familiarity with regulatory filings, compliance management systems, and legal research tools is typically required. Strong analytical thinking, attention to detail, effective communication, and sound judgment are crucial soft skills for success. These skills are essential to ensure regulatory compliance, mitigate legal risks, and provide strategic counsel in the highly regulated investment management industry.

What are some common challenges faced by Executive 1940 Act Attorneys when advising investment companies on regulatory compliance?

Executive 1940 Act Attorneys often navigate complex and evolving regulatory requirements, particularly as they relate to the Investment Company Act of 1940. A key challenge is interpreting and applying SEC rules to novel investment products and structures, while ensuring compliance with disclosure, governance, and operational obligations. These attorneys frequently collaborate with compliance officers, portfolio managers, and external auditors, requiring strong communication and negotiation skills. Staying updated on regulatory changes and SEC enforcement trends is vital to proactively address compliance risks and support the company's business objectives.

What is the difference between Executive 1940 Act Attorney vs Investment Management Attorney?

AspectExecutive 1940 Act AttorneyInvestment Management Attorney
CredentialsJurisdiction-specific law degree, bar admission, specialized securities law certificationsJurisdiction-specific law degree, bar admission, securities law certifications
Work EnvironmentLaw firms, in-house legal teams at asset management firms, regulatory agenciesLaw firms, in-house legal teams at investment firms, regulatory bodies
Industry UsageFocuses on compliance with the Investment Company Act of 1940 and related regulationsAdvises on investment fund structures, compliance, and regulatory issues

While both roles require securities law expertise and similar credentials, an Executive 1940 Act Attorney specializes in compliance with the Investment Company Act of 1940, focusing on mutual funds and investment companies. An Investment Management Attorney has a broader scope, advising on various investment products and regulatory matters within the investment management industry.

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Executive 1940 Act Attorney jobs near you
Infographic showing various Executive 1940 Act Attorney job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 82% Full Time, 16% Part Time, and 1% Contract. Highlights an 93% Physical, 2% Hybrid, and 5% Remote job distribution, with an average salary of $93,552 per year, or $45 per hour.

1940 Act Attorney

Tidal Financial Group

Remote

Full-time

Re-posted 19 days ago

Job description

Tidal Financial Group is a leading ETF investment technology platform dedicated to creating, operating, and growing ETFs. We combine expertise and innovative partnership approaches to offer comprehensive, value-generating ETF solutions.
Our platform offers best-in-class strategic guidance, product planning, trust and fund services, legal support, operations support, marketing and research, and sales and distribution services.
About the role
We are seeking a junior to mid-level 1940 Act Attorney (2-7 years of experience) to support legal work related to 1940 Act-regulated investment companies, primarily ETFs. This role is designed for an attorney who is continuing to build subject matter expertise and deepen their experience in the ETF and broader asset management space.
In this role, you will work closely with senior attorneys, internal business teams, and clients to assist in providing clear, practical legal guidance and executing on key regulatory and product-related initiatives. A core focus will be drafting and supporting the review and filing of ETF registration statements and related disclosures, while helping facilitate efficient and well-coordinated review processes with external counsel and the SEC.
The Tidal Legal team delivers business-oriented, solutions-focused legal guidance and partners closely with internal stakeholders, clients, and third-party service providers. This position offers the opportunity to take ownership of meaningful workstreams while contributing to the launch and ongoing operation of ETFs in a collaborative, team-first environment.
What you'll do
  • Support the provision of legal counsel on matters related to SEC-registered investment advisers, investment companies, and fund administration firms, with a focus on delivering clear, practical guidance
  • Assist in drafting and updating registration statements, including prospectuses and Statements of Additional Information (SAIs), as well as annual updates and other regulatory filings, with an emphasis on clarity and accuracy
  • Draft and refine investment strategy and risk disclosures, including for funds utilizing derivatives or other complex strategies, applying "plain English" principles in drafting disclosures with guidance from senior team members
  • Collaborate cross-functionally with internal teams and clients to support ETF launches and ongoing fund operations, helping ensure alignment and smooth execution
  • Conduct legal research and help prepare written and oral guidance on a variety of 1940 Act-related issues, communicating findings clearly to both legal and non-legal audiences
  • Assist in preparing filings and documentation for new products and services, including trust formations and proxy or information statements
  • Contribute to ongoing process improvements that enhance efficiency, organization, and consistency across fund launches and compliance workflows
  • Take ownership of assigned workstreams, managing timelines and priorities to support timely and high-quality delivery
  • Perform other responsibilities as assigned

Qualifications
The successful candidate will have the following skills and experience:
  • 2-7 years of relevant legal experience, with exposure to the Investment Company Act of 1940 and/or Investment Advisers Act of 1940
  • Experience at a law firm or in-house legal department supporting registered funds or investment advisers preferred
  • A J.D. and active membership (or eligibility) in good standing with at least one U.S. state bar
  • Familiarity with registration statements and regulatory filings for investment companies is strongly preferred
  • Strong drafting skills, with the ability to write clearly and apply "plain English" principles to legal disclosures
  • Solid research and analytical skills, with strong attention to detail and a thoughtful, solutions-oriented approach
  • Effective communication skills, with the ability to work collaboratively with internal stakeholders and clients
  • Strong organizational skills and the ability to manage multiple workstreams with appropriate supervision
  • A proactive, accountable approach to meeting deadlines and managing competing priorities

Preferred Qualifications
  • Prior experience working specifically with ETFs or similar investment products
  • Exposure to interactions with the SEC, including comment letter processes
  • Interest in financial markets and the asset management industry

Apply