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Years of Experience
Date Last Verified
ProfileCounsel Senior Duties: Will be an integral part of a 6-attorney team that provides support to the investment activities of Asset Management Group (AMG). Will primarily support PNC Capital Advisors (an SEC-registered investment adviser) and the Funds (a family of mutual funds), and will be responsible for delivering legal support to senior management, business development officers, and operations personnel with respect to federal laws and SEC rules and regulations governing AMG’s investment activities; interpreting and implementing new laws and regulations; product development; external client issues; drafting and maintaining form agreements; negotiating client and vendor agreements; review of binding sales proposals; review of marketing materials; and review of policies and procedures, among other functions. Review and update training materials regarding federal laws and SEC regulations governing AMG’s investment activities, and work closely with industry groups on legislative and regulatory developments affecting AMG’s investment activities. Identifies and manages legal risk for the organization. Performs significant and complex legal work and regularly interacts with management.Oversees legal research, analysis, consultation and documentation within a framework of legal compliance and risk management. Leads outside counsel relationships and manages expenses. Networks with outside organizations to advance legal interests and legal health of the corporation and its industry. Develops talent by creating engaged, inclusive and diverse teams who are empowered to speak freely and act with integrity.
Qualification and Experience
Qualifications: A university / college degree. Higher level education such as a Masters degree, or PhD degree is desirable. Industry experience is typically 8+ years. Specific certifications are often required. JD Degree or equivalent degree from an accredited law school. 8+ years of experience in registered investment adviser and/or mutual fund practice and demonstrated ability to fulfill designated responsibilities. Good standing status in a state bar (preferably PA). Knowledge of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions, and ability to leverage that information in creating customized customer solutions. Demonstrates energy and a desire to succeed; follows through on commitments; pushes self and others to deliver exceptional results. Recognizes the need for, takes personal accountability to adapt, and leads others through organizational change. Creates a compelling vision of the future and translates it into action, linking others' contributions to the success. Assesses and effectively manages all of the risks associated with their business objectives and activities to ensure activities are in alignment with the bank's and unit's risk appetite and risk management framework. Knowledge of practices, behaviors, applicable laws, rules, and regulations governing proper business conduct; ability to demonstrate ethical behavior in diverse situations. Understanding of effective communication concepts, tools and techniques; ability to effectively transmit, receive, and accurately interpret ideas, information, and needs through the application of appropriate communication behaviors. Understanding of the issues related to the decision-making process; ability to analyze situations fully and accurately, and reach productive decisions. Knowledge of successful negotiation concepts and techniques; ability to negotiate successfully across the organization and with external vendors and clients in a constructive and collaborative manner. Knowledge of effective influencing tactics and strategies; ability to impact decisions within and outside own organization. Ability to effectively manage the utilization of external services (e.g., product or platform vendors, service providers, contractors, consultants, outsourced functions). Knowledge of the major responsibilities, accountabilities, and organization of the legal function or department; ability to provide legal consulting, advice and assistance. Knowledge of and ability to read, interpret and draw accurate conclusions from both legal and factual information.