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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate
Litigation - Whistleblower - CFTC
AWM Product & Regulatory Attorney - VP Duties: Supporting the AWM division in connection with US regulatory matters, including: Advisers Act and Investment, Company Act matters (including Form ADV), FINRA CEA and CFTC (including Dodd Frank Title VII), Dodd Frank, Volcker Rule Form, PF FATCA ERISA. Serving as a liaison with non-US colleagues in assessing the impact of certain non-US regulatory matters (e.g., EMIR and AIFMD) on the AWM products manufactured in the US. Advising the Alternatives and Real Assets group (ARA) within the AWM Division on the development, distribution and maintenance of alternatives products, including private funds and discretionary and non-discretionary separately managed account mandates investing in alternatives strategies such as real estate, infrastructure, private equity, and others. Assistance with the negotiation of investment management agreement, confidentiality agreement, engagement letters and other legal agreements for ARA.
Qualification and Experience
Qualifications: Knowledge of the Investment Advisers Act of 1940, the Investment Company Act, Securities Act of 1933 and FINRA rules; and a working knowledge of the Dodd-Frank Act, Volcker Rule, ERISA, Commodity Exchange Act, CFTC rules, and relevant US Banking laws. Working with the relevant Business units, the Compliance Department and other parts of the Legal Department, including bank regulatory lawyers and lawyers outside of the US.
Job ID: 3123467
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