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Years of Experience
Date Last Verified
ProfileCorporate AVP, Associate Counsel The candidate will assist other attorneys in the department, including senior attorneys, Deputy General Counsel and General Counsel, with the provision of legal advice in multiple areas of the company’s business, but with a focus on the company’s registered investment advisor (“RIA”) offerings. Will work with various business units within the company to draft and negotiate contracts with financial advisors, portfolio managers, product sponsors, vendors and other third parties. Draft agreements, disclosure documents and other forms for use with retail clients and financial advisors. Implementation of new and changing regulations affecting the business of a dual registrant. Legal analysis of compliance and regulatory issues affecting the company as RIA and broker-dealer. Assistance with maintenance of firm’s retirement, brokerage and advisory platforms including SMA, UMA and other wrap programs.
Qualification and Experience
The candidate must have Bachelor’s Degree, J.D., and be admitted to practice. Must have 3-5 years of corporate legal experience, preferably in a financial services complex or a law firm working with corporate clients. Experience as an attorney working with the Investment Advisers Act of 1940, and basic corporate law principles; experience with state securities laws, the Securities Exchange Act of 1934, the rules and regulations of self-regulatory organizations, and ERISA preferred. Knowledge of multiple products and asset types strongly preferred. Strong writing and organizational skills is required. Should have good interpersonal skills and ability to interact with members of senior management as well as adaptability and willingness to take on a wide variety of new tasks in a fast-paced environment.
Job ID R-000053