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Years of Experience
Date Last Verified
ProfileWealth Management Investment Advisory Attorney Responsibilities: Day-to-day legal support for Consulting Group investment advisory business, including the drafting of disclosure documents and client and manager agreements as well as issues relating to trading, best execution, trade allocation, operational issues, principal trading rules, investment allocations, client fee structures and cash solicitation rules. Working with various areas of the business on new product and tool development, including digital Working directly with clients and their counsel on issues relating to contracts, suitability, etc. Dealing with relevant regulators, especially the S.E.C. Interacting with other Legal Dept. areas (especially ERISA team) as well as Compliance and Risk.
Qualification and Experience
Qualifications: 5+ years' experience with issues arising under the Investment Advisers Act of 1940 and related federal securities laws. Conversant in general investment issues – able to interface effectively with investment personnel on technical issues. Experience in drafting disclosure documents and contracts. Experience in new product processes. Familiarity with regulatory processes (SEC and FINRA). Understanding of the evolving nature of digital investment products and related digital investment advice tools, especially automated investment platforms Understanding of regulatory landscape applicable to digital investment advice. Functional knowledge of ERISA issues as they relate to investment advisory products.
Job Number: 3081500