Seeking an attorney who will support this company’s US retail separately managed account (SMA), sub-advisory, and model portfolios businesses, providing advice and consultation on a variety of legal, regulatory and compliance issues relating to this compnay’s asset management business. The attorney will handle business relationships within this company’s US Wealth Advisory channel and model portfolio businesses, and communicate regularly with management regarding legal, compliance and business issues/risks. Responsibilities will include drafting and negotiating investment management agreements, guidelines and other agreements with clients, financial intermediaries and investment advisers, advising the business on relevant regulatory developments, assisting on new product development initiatives and drafting and providing legal guidance with respect to Form ADV disclosure and delivery requirements.Requirements
- Requires a J.D. with outstanding academic credentials from a nationally recognized law school and four to seven years' experience as a lawyer in a major law firm or in the legal department of a leading financial services organization.
- Expertise in the Advisers Act is required, and familiarity with other U.S. federal securities laws, such the Investment Company Act of 1940, and related regulatory areas such as FINRA and ERISA is strongly advantageous but not required.
- The candidate should have exceptional analytical, written and verbal communication, strong interpersonal and relationship-building skills, and must be able to work effectively both independently and as a member of the team, in a demanding, fast-paced, global environment prioritizing multiple tasks and projects concurrently while maintaining high standards and attention to detail.
- The candidate must have the ability and desire to develop expertise in new or unfamiliar areas of law.
We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.