Job Details

AVP, Senior Counsel - Fund Management

Company name

Organization Type

In-House

Job Type

Attorney

Years of Experience

Min 10 yrs required

Location

Radnor, PA

Date Last Verified

Aug 11,2017

Posted on

Apr 18,2017
Practice Area
Finance >> Finance - General
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AVP, Senior Counsel - Fund Management The candidate will provide legal advice and support to the company Group business segments, including SEC-registered investment adviser, that are responsible for providing investment management services to proprietary mutual funds and separate accounts. Provide significant and pro-active legal support, legal project management and sophisticated guidance regarding the proprietary mutual funds, including advice regarding fund operations and fund board matters. Focus is primarily on the requirements of the Investment Company Act of 1940, the Investment Advisers Act of 1940 and other related laws and regulations. Provide legal advice and support on: the ongoing operation of Lincoln Financial Group’s proprietary mutual funds and the advisory and administrative services LFG affiliates provide to the funds; fund registration statements, annual and other regulatory reports, filings and certifications; fund board matters and materials, including procedural and other requirements for board meetings; ongoing operation of SEC-registered investment adviser; adviser board meeting materials; fund and adviser policies and procedures and other support on fund and adviser compliance matters; new fund development and compliance; strategic initiatives of Funds Management and related business lines/products. Draft, negotiate and interpret: Service agreements, consulting agreements, confidentiality agreements, vendor contracts for services supporting the advisor and the mutual fund complex; Fund participation agreements, shareholder servicing agreements and distribution-related contracts, including those with broker-dealers, retirement plan administrators and other intermediaries. Futures agreements, trading services agreements and other agreements related to portfolio securities and trading matters. Advise fund complex and adviser or new laws, changes/developments in the laws and other industry developments (legislative, regulatory, case law) and assist Funds Management Legal and Compliance group, and Lincoln, with key regulatory compliance and other related initiatives. Assist in all regulatory examinations of fund complex and adviser and provide related support for other Lincoln regulatory examinations. Assist in managing outside fund counsel support relating to essential job duties and responsibilities. Review advertising and marketing materials related to the funds and advisory businesses. Law Degree from an ABA-accredited law school required. 10+ years of experience counseling investment companies and SEC-registered investment advisers, including project management and significant contract negotiation experience required. Broad experience with large, diverse and complex financial institutions and experience at top-tier law firm strongly preferred. Expert knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934 and other related laws and regulations and demonstrated ability to work efficiently and effectively with legal and compliance team members and with business leaders at multiple levels of organization required. Superior oral and written communication skills and legal project management skills required. Microsoft Office Suite - Word, Excel, PowerPoint & Outlook skills required.

Additional info

Requisition ID: 28521

Company info

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