Description:

Job Description:
Regulatory Engagement & Examinations Counsel

A Global Investment Firm's 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 Regulatory Engagement & Examinations Counsel role will be responsible for overseeing and managing the legal aspects of A Global Investment Firm's global regulatory engagements. They will partner with Compliance, Finance, and other business groups to manage regulatory inquiries, audits and exams with global regulators such as SEC, FINRA, DOL, CFTC, NFA, IRS, FCA, MAS and ASIC.

Responsibilities:

Support A Global Investment Firm's business on all regulatory engagement & examination matters, including regulatory examinations, surveys and questionnaires, subpoenas, information requests, meetings and other interactions and inquiries.
Work with senior management to analyze examination requests and other regulatory information requests and provide direction for effective approach to such requests.
Support the management of regulatory inquiries and exams, including providing a review/evaluation of the quality, accuracy, sufficiency and completeness of regulatory responses.
Prepare briefing notes and read- outs of examination meetings.
Coordinate with multiple teams across disciplines and regions to meet exam deliverables.
Advise on regulatory guidance, themes and focus areas that could impact examinations.
Maintain and enhance firm-wide processes, standards, and documentation for all regulatory examinations, ad hoc requests, and other regulatory activities.
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:

6-8+ years of practice in a top-tier law firm, company or government agency, including at least 3+ years of experience in managing regulatory exams and relationships with regulators/examiners. Government agency experience preferred
Knowledge of investment management agreements, investment adviser, broker-dealer, 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
Familiarity with non-US financial sector regulators in jurisdictions where A Global Investment Firm has operations is highly desirable
Detail oriented, organized and professional
JD from a top law school
Member of a US state bar required
Excellent verbal and written communication skills, as well as an ability to communicate with executives and non-lawyer business partners in a clear and understandable way
Technical fluency, including proficiency with Microsoft Office Suite and other legal technology (ebilling, legal document repository, legal research tools), as well as a willingness & ability to learn and adapt to new technologies.
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.