Description:

Are you a seasoned legal professional with a passion for navigating the complexities of investment advisory services? An Investment Management Company is seeking a strategic legal advisor to play a pivotal role in shaping and safeguarding our discretionary and non-discretionary registered investment advisory offerings. This high-impact position offers the opportunity to influence business decisions, ensure regulatory compliance, and represent An Investment Management Company in significant legal matters—all while mentoring junior staff and staying at the forefront of industry developments.

Responsibilities:

Acts as a subject matter expert and provides business leaders with legal advice on issues impacting An Investment Management Company's discretionary and non-discretionary registered investment advisory offerings. Ensures that business activities, policies, practices and transactions comply with relevant laws and regulations."
Drafts and negotiates legal documents such as regulatory filings, contracts, agreements, and correspondence of legal significance.
Monitors, analyzes, and responds to legislative and regulatory developments related to An Investment Management Company's business activities and investment products to ensure they are adequately addressed.
Represents the organization in complex, controversial, significant, or specialized legal proceedings before courts, government agencies, or other authorities so the organization's interests are protected.
Directs the work being performed by outside counsel. Reviews and evaluates outside counsel invoices.
Maintains a high level of expertise in regulatory law, An Investment Management Company's business and products, and the investment industry. Stays abreast of industry and regulatory developments affecting An Investment Management Company, and maintains affiliations with relevant industry, compliance, and risk associations.
Coaches junior staff and helps resolve problems.
Participates in special projects and performs other duties as assigned.

Qualifications:

Minimum eight years related legal work experience.
Undergraduate degree or equivalent combination of training and experience. Law degree (JD) preferred.
Expertise in the Investment Advisers Act and applicable regulations.
Knowledge of FINRA rules and ERISA's prohibited transaction exemptions are a plus.

Special Factors
Sponsorship
An Investment Management Company is not offering visa sponsorship for this position.