Description:

Counsel, Legislative & Regulatory
A Global Investment Firm Legal division is an in-house team of client-focused attorneys, paralegals, and legal assistants who partner with internal and external teams to help provide legal expertise across business functions, legal systems, and jurisdictions.

This Legislative & Regulatory Counsel role will provide expert legal guidance related to ongoing and new legislative & regulatory requirements impacting the firm and its relevant product ranges throughout North America, Australia, Europe and Asia. Work will include tracking new global legislative & regulatory developments and briefing senior executives on their applicability to the business. Work will also include providing counsel to firm-wide efforts to develop processes and policies to comply with applicable requirements and/or guidance.

Responsibilities:

Primary responsibility in the Legal team to initially collect, analyze and interpret applicability of proposed and enacted legislation, regulations, and policy developments which impact A Global Investment Firm global funds & advisor entities.
Translate complex legislative & regulatory updates into practical application for the business.
Draft or provide legal comments on A Global Investment Firm comment letters on proposed legislation.
Primary responsibility in the Legal team to track and communicate expected impact of final rules and regulatory guidance, such as risk alerts and FAQs issued by regulators, globally in markets impacting A Global Investment Firm business.
Assist and support the internal efforts to comply with any new requirements under adopted rules, including advising and handing off to relevant members of the legal team.
Provide legal and strategic guidance to internal stakeholders, including executive management, compliance, and investment teams, on policy risks and opportunities.
Attend industry meetings intended for lawyers or legal participants.
Serve as legal consultant to internal business clients for special projects.
Prepare and, when requested, present materials such as memoranda, agendas, and meeting minutes for internal meetings, committee meetings, or the meetings of the various Boards of A Global Investment Firm, its subsidiary companies and/or its fund complexes; identify legal issues and provide legal advice of importance to the Boards.
Facilitate communication among all major stakeholders, including senior management and control functions.

Qualifications:

3-7 years of practice in a top-tier law firm, company or government agency handling legal and regulatory issues.
Knowledge of securities regulatory work, investment management agreements, filings with SEC, investment adviser, open-end mutual fund and/or ETF issues is highly desirable
Substantial knowledge of federal securities law and corporate law; familiarity with Investment Company Act of 1940 and Investment Advisers Act of 1940 is highly desirable
Detail oriented, organized and professional
JD from a top law school
Member of a US state bar
Excellent verbal and written communication skills, as well as an ability to communicate with non-lawyer business partners in a clear and understandable way
Able to work well in a team environment
Self-starter who can manage multiple time-sensitive projects involving different business and support groups on a cross-functional basis.
Technical fluency, including proficiency with Microsoft Office Suite & other legal technology (ebilling, legal document repository, legal research tools), as well as a willingness & ability to learn and adapt to new technologies.