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Years of Experience
Date Last Verified
General Counsel The candidate will be exercising strong organizational and leadership skills to direct the activities of staff attorneys and compliance professionals. Providing mentoring and development to departmental team members to maximize their contributions to the organization. Will be providing legal advice and support to the executive team and employees across all departments on a wide range of issues. Leading the drafting, negotiating and review of a variety of contract agreements, including employment agreements, vendor agreements, real estate leases and mergers and acquisitions transactions. Advising on mergers and acquisitions and general corporate governance matters. Partnering with stakeholders to manage and design policies and procedures as well as compliance controls and oversight efforts. Overseeing and managing relationships with outside counsel for certain legal matters. Maintaining a current working knowledge of new laws and regulatory developments. Developing company policy and position on certain legal issues. Performing other duties as assigned.
Qualification and Experience
The candidate should have Juris Doctor degree(J.D.). Should be licensed to practice law in one state (California or Texas preferred). Should have 10+ years of experience at a law firm, regulator or in-house legal department in an attorney or compliance role. Litigation and settlement experience across a broad range of legal matters is essential. Financial services experience is preferred, particularly as it relates to registered investment advisors. Knowledge of SEC laws, industry practice and other regulatory requirements related to the Investment Advisor Act of 1940 is essential. Strong work ethic and focus on process and achieving result is essential. Excellent communication, analytical and organizational skill is essential.
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