Overview

Job description

Our client is a Legal and Compliance company that works with business teams to develop investment management products and business solutions that comply with the numerous legal and regulatory requirements to which the company is subject.  Legal and Compliance is responsible for, among other things, overseeing regulatory matters; assisting with product development and structuring; preparing and updating relevant offering materials, shareholder communications and related risk disclosures, negotiating service provider and client contracts; providing ongoing legal advice to the business regarding new and existing products and strategies and establishing legal and compliance policies and procedures that meet applicable regulatory requirements and testing the operative effectiveness of those policies and procedures and conducting training.

We are searching for an attorney to provide advice and support on a variety of legal and regulatory matters arising in the asset management business, with a particular focus on the company’s US exchange traded fund (ETF) business. The candidate must be able to directly manage and coordinate across a wide variety of business and operations teams on regulatory, compliance and business issues and risks associated with the ongoing operations of the funds and the business; development of new products; key business initiatives and other special projects.

Requirements

  • Requires a J.D. with superior academic credentials from a nationally-recognized law school and four to six years’ experience as a lawyer in a major law firm or the legal department of an of an asset manager, investment bank or other leading organization.
  • Experience in asset management and advising mutual funds, ETFs and/or other collective investment products.  Knowledge of the Investment Advisers Act, Investment Company Act of 1940, the Securities Act of 1933 and Securities Exchange Act of 1934 preferred.
  • Experience in broker-dealer and/or capital markets issues a plus.
  • Must have strong organizational skills and ability to manage multiple time sensitive matters in a demanding, fast-paced and fluid environment.  The candidate must have the ability to coordinate complex projects involving different business groups and to assist the business in implementing solutions across the broad range of the company products and services.
  • Having a business and solution-oriented approach to interacting and working with clients is critical for this role.
  • Exceptional analytical, written and oral communication and relationship-building skills required, as is a proven track record working as a member of a team.  The candidate must have a strong ability to solve problems in a practical manner and to communicate complex concepts in an understandable way.
  • The candidate should also be capable of overseeing work done by external counsel.

Please feel to email resumes to Jack Kelly at Jack@ComplianceSearch.com

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