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Senior Counsel (1940 Act)

Matthews Asia
San Francisco, USA
market competitive
Closing date
Feb 2, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
[Candidates must have direct experience with the Investment Company Act of 1940.]

Matthews International Capital Management has a terrific opportunity for an experienced legal professional (JD) with expertise in supporting registered fun ds/mutual funds.

This role will report to the General Counsel and be an active and integral part of the Matthews' legal team. We are in an exciting time of new growth for the firm and you will be a part of the collaborative architecture we are building!

In this role you will focus primarily on providing legal support to Matthews' growing U.S. funds' business, which currently consists of registered open-end mutual funds, exchange traded funds, and other managed accounts, as well as supporting the firm's subsidiaries.

You will be responsible for advising Matthews' internal business clients, including portfolio managers, trading, marketing and client services, finance and other departments on legal and regulatory aspects for the management, governance, trading, distribution and administration of such funds.

You will also work in close collaboration with the firm's Compliance Department in interpreting and implementing U.S. and foreign regulatory requirements applicable to the funds and be responsible for coordinating, managing and supervising outside counsel.

Specific Responsibilities include:
  • Managing and supporting Matthews' U.S. mutual fund business, including preparation, filing and maintenance of registration statements, prospectuses, and shareholder/periodic reports; drafting and negotiating intermediary relationships and distribution agreements, fund service provider agreements and providing sales/marketing support; partnering with the business on new product development, including the structuring, registration and launch of new mutual funds and ETFs;
  • Advising the business on legal and regulatory aspects for key projects and initiatives and ensuring legal issues are raised and adequately addressed;
  • Managing and providing legal support to the registered Funds' Board of Directors, including preparation and drafting of meeting materials, board minutes and resolutions in collaboration with the fund administration team; attending board meetings and coordinating with independent trustee counsel on board meetings and board related issues and matters
  • Working with the business and other control functions (Compliance, Risk etc.) on operations, policies and procedures and assisting with regulatory inquires and exams;
  • Staying current on SEC rulemaking and other U.S. and foreign regulatory developments impacting the funds and business; advising the business on new requirements and assisting with their implementation;
  • General: As a member of Legal Department, this position would be expected to contribute to general matters arising across the firm, including reviewing various contracts, assisting with service provider relationships, advising Risk and Compliance Department and other functions on day-to-day legal questions, regulatory and market developments and participating on key projects and Legal Department initiatives.

  • Legal Qualifications: J.D.
  • Bar admission and at least 8 years of legal practice in a law firm or in-house required.
  • At least 6 years of investment management experience required, including in depth knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940 and relevant knowledge of the Securities Act of 1933 and Securities and Exchange Act of 1934.
  • Additional experience working with and managing registered Funds' Board of Directors preferred.
  • Strong leadership, management and organizational skills with the ability to effectively and efficiently manage multiple projects with varying deadlines to their timely conclusion;
  • Ability and desire to develop, mentor and train other team members, plan and lead projects as an individual contributor and as a team and track deadlines essential to success.
  • Exceptional written and oral comprehension and communication skills required. Must be able to grasp complicated matters and communicate complex legal concepts to the business in an easy-to-understand manner.
  • Excellent analytical, problem- solving and decision-making skills with the ability to drive commercial oriented outcomes in a risk-controlled manner.
  • Desire to be a collaborative team member who is proactive and ready to pitch-in and help others.
  • Client service oriented with commercial awareness and a can-do, positive attitude.
  • Attention to detail, timeliness and strong sense of ownership and responsibility required.

THE COMPANY: Matthews Asia is an independent, privately owned investment manager headquartered in San Francisco with offices in London, Hong Kong and Shanghai. Founded in 1991, the firm specializes in investing in Asia's equity and fixed income markets for institutions, advisors and retail investors worldwide. A focus on Asia-and providing compelling investment solutions for our clients-is what we believe distinguishes us among investment managers.

Our insights into investment opportunities and risks are backed by proprietary research, a collaborative culture, and over 30 years of experience. Our bottom-up, active investment approach has focused on identifying the most attractive long-term growth opportunities in Asia's diverse markets. As the region's influence and links to the broader global economy have grown, our research capabilities have also expanded to include emerging markets-an asset class that Asia now dominates. Our portfolios typically feature low turnover rates and high active share, with holdings that differ significantly from their benchmarks. Our long-term perspective and culture of independent thinking facilitate our delivery of a consistent and distinctive value proposition to our clients and partners.

Additional information on Matthews Asia and the Matthews Asia Funds can be found at

Matthews International Capital Management, LLC is an equal opportunity employer. The Company does not discriminate on the basis of race, color, religion, religious creed (including religious dress and grooming practices), age, national origin, citizenship, ancestry, political activity or affiliation, marital status, sex, sexual orientation, gender, gender identity, gender expression, physical or mental disability, medical condition as defined under applicable law, genetic information, military or veteran status, pregnancy, childbirth and related medical conditions, taking or requesting statutorily protected leave, or any other characteristic protected by federal, state, or local laws or ordinances.

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