VP, Retail Separately Managed Accounts Attorney

$300,000 - $350,000 yearly
  • The Resume Review - Recruiting Department
  • Feb 04, 2021
Full time Accounting Finance

Job Description

Job description
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.
 
 
Additional Information 1. Travel arrangements for candidates’ traveling with an employee of this company, as directed by this company, must be booked through this company.
2. This company verifies the credentials and employment history of candidates offered employment. Therefore, the Search Firm agrees to notify all candidates that information presented on any application forms, resumes or during the interview process will be verified.
3. The Search Firm will advise each candidate that this company expects him or her to honor his or her contractual obligations to any previous employer. The Search Firm will also advise the candidate to seek independent legal advice where the candidate has any question concerning the nature of the candidate’s obligations or enforceability of any contract terms, such as provisions prohibiting solicitation of other employees of any previous employer, confidentiality and non-compete clauses. In the event that the Search Firm learns that a candidate is subject to restrictive covenants of the type referenced above that it reasonably believes may impact the candidate’s ability to perform in an unrestricted manner in the position for which the search is engaged, the Search Firm will advise this company of such restrictions.
4. Hiring Company verifies the credentials and employment history of Candidates offered employment. Therefore, the Search Firm agrees to notify all candidates that information presented on any application forms, resumes or during the interview process will be verified. Any false or misleading information, omissions or misrepresentations may be grounds for immediate discharge if the employment has commenced employment or revocation of the offer. Federal law also requires that employers hire only individuals who are authorized to be lawfully employed in the United States. In compliance with such laws Hiring Company will verify the employment authorization status of every individual offered employment with Hiring Company. Accordingly, all offers of employment are subject to the verification of the applicant’s identity and employment authorization and it will be necessary for the candidates to submit such documentation as required by law to verify identification and employment authorization. All offers of employment are also conditional upon satisfactory completion of a background check conducted by an outside vendor which may include a criminal record search, drug testing and/or fingerprinting, as may be permissible under applicable law. The Search Firm agrees to inform all candidates of these requirements.