Job Details

Counsel, Compliance

Company name

Organization Type

In-House

Job Type

Attorney

Years of Experience

3-7 yrs required

Location

Austin, TX

Date Last Verified

Oct 19,2017

Posted on

Jul 11,2017
Practice Area
Corporate >> Corporate - Investment Company Act
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Counsel, Compliance The candidate will act as the primary global legal liaison with the Compliance Department and assist with the day-to-day legal needs related to ongoing and new regulatory requirements impacting an asset manager and the relevant product ranges. Assist in the tracking of new regulatory developments and provide counsel to cross-departmental efforts to develop processes and policies to comply with applicable new regulatory requirements and/or guidance. Review and analyze policies and procedures in the fund companies’ compliance program as well as the adviser’s compliance program. Assist compliance, portfolio management, trading and other departments in the interpretation and application of the firm’s compliance policies and procedures. Serve as legal consultant to business clients for special projects, such as the development of new protocols related to risk management functions, cyber-security, etc. Prepare, and when requested, present materials for internal meetings, committee meetings, or the meetings of the various Boards of Dimensional, its subsidiary companies and/or its fund complexes as well as related shareholder meetings. Work with and oversee the work provided by outside counsel on a variety of legal matters ensuring that standards for service delivery and cost are met. Perform additional services as requested.

Qualification and Experience

The candidate should have JD degree from a top law school. Member of Texas State Bar or qualified to practice as in-house counsel in Texas is preferred. 3-7 years of practice (investments, financial services, securities regulatory work, investment adviser and/or mutual fund issues) in a top-tier law firm or in-house mutual fund, investment adviser, or financial intermediary. Substantial knowledge of federal securities law and familiarity with Investment Company Act of 1940 and Investment Advisers Act. Very strong communication skills (verbal and written). Proficient in Microsoft Office (Word, Excel, Outlook).

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