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Corporate Attorney in Overland Park, KS

Waddell & Reed, Inc. Jun 30,2016 Mar 28,2016 Location Overland Park KS
This job is expired...

In-House

Attorney

Corporate

Litigation - Whistleblower - CFTC

8-10 yrs required

Profile

1940 Act - Senior Attorney Duties: Responsible attorney for day-to-day legal advice and guidance for investment adviser subsidiaries, Investment Advisers Act of 1940, and general corporate transactional and securities work related to investment management business. Regular interaction with senior management, investment professionals (portfolio managers and traders), operations and compliance staff. Recognized as an expert within the company and anticipates business and/or regulatory issues. Must inspire confidence through the strength of intellect, judgment and ability to manage interpersonal relationships at all levels. Primary legal contact for senior management and investment, compliance and operational staff supporting investment adviser subsidiaries on all legal issues, SEC guidance and related securities laws. Provide legal analysis for, and help coordinate responses to, a wide variety of regulatory business, risk-management and operational issues. Responsibility for investment adviser disclosure documents, including preparing annual update to Form ADV and related materials, and review of disclosures provided in response to new institutional client RFPs, current client quarterly questionnaires and 15(c) responses. Review, negotiate and provide legal advice on all investment adviser transactional documentation, including investment management and sub-advisory agreements, solicitor agreements, offering documents related to investment activity (including cornerstone agreements and offering documents), and trading documentation and agreements. Responsibility for legal advice regarding foreign registrations for investment advisory clients, institutional marketing policies and procedures, and advice related to Global Investment Performance Standards (GIPS). Serve as legal representative on various internal investment adviser and trading sub-committees. Primary legal contact for privately offered co-mingled products, including custody issues. Provide legal support and assistance with regulatory inquiries and examination process, including communications with regulatory staff. Partner with compliance and supervisory personnel charged with ensuring adherence to industry regulations. Keep abreast of new legal, regulatory, and industry developments and educate internal clients with respect thereto Support the General Counsel in managing a comprehensive range of investment advisor legal services Perform other duties as assigned by the General Counsel.

Qualification and Experience

Qualifications: JD Degree from an accredited U.S. law school with strong academic credentials; current member in good standing on at least one state Bar. 8-10 years significant, sophisticated legal experience in the investment management practice of large national law firm, mutual fund complex or regulatory body. Must have extensive knowledge of Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933; experience with Securities Exchange Act of 1934 a plus. A proven background of relevant legal experience exhibiting maturity and independence of judgment in difficult and complex circumstances; anticipates internal and external business challenges, as well as regulatory issues. Ability to establish effective working relationships throughout operational groups in an environment where coordination and teamwork with legal and business associates is a top priority. Ability to weigh legal risks within a dynamic business environment and deliver timely, proactive and constructive legal advice that is supportive of business objectives. Motivated self-starter who can work independently with initiative in handling diverse situations, sound judgment and discretion. Highly organized individual with special attention to detail and ability to manage multiple priorities/deadlines, pressure and stress inherent in the practice of law. Flexibility and a willingness to adapt to fast-paced, changing needs of the organization and business clients. Ability to proofread and edit documents using standard proofreader's marks. Proficient in MS Office Suite (Word and Excel). Regular and reliable attendance. Excellent analytical, drafting and written/oral communication skills. Ability to read, analyze and interpret complex documents, regulations and laws and transform into language that is easy for a wider audience to comprehend.

Additional info

Tracking Code: 886-732

Company info