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Years of Experience
Date Last Verified
Attorney-GWIM - Investment Management The candidate will be providing legal support to the ISG investment advisory businesses on Investment Advisers Act issues, particularly with respect to “wrap fee” programs, including advising on new and existing programs and services. Counseling Managed Account Advisors, company’s separately registered investment manager, which acts as an “overlay” manager in the implementation and execution of third party SMA models in company’s investment advisory programs. Advising on performance- and marketing-related materials, as well as other client facing communications under applicable SEC and FINRA rules and regulations. Advising the business on regulatory matters and ongoing regulatory reforms, including SEC rules and regulations and examination and sweep initiatives and priorities. Assisting with the maintenance and amendment of investment advisory program contracts and Form ADV Brochure documents, as well as agreements with third party managers. Participating in the review, policy and governance processes related to the above products and services, working with business and control partners across various groups within the organization. Providing legal support to the ISG capital markets and alternative investments businesses, including advising on public securities offerings, secondary trading matters, the distribution of hedge funds and private equity funds, and the formation of feeder funds Provides general legal counsel to GWIM businesses. Prepares legal contracts and documents under the direction of more senior attorneys. Conducts legal research. In representing the Bank, responsibilities will typically be limited to less complex and serious actions.
Qualification and Experience
The candidate should have 4-8 years of experience as a practicing attorney. Experience with advising on performance and marketing related materials under SEC and FINRA rules and regulations. Must be an effective communicator who is capable of collaborating with others. Proficient knowledge of the Investment Advisers Act of 1940 required. Working knowledge of the Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, and SEC, FINRA and CFTC rules and regulations, including Regulation D private placement regulations. Familiarity with investment products and investment advisory services targeted at retail investors, including suitability considerations.
Job number: 18013028
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