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Years of Experience
Date Last Verified
Litigation & Regulatory Counsel Duties: Assist the Legal Department and the firm, including its non-U.S. offices, with day-to-day regulatory and litigation legal needs in the investment adviser and mutual fund area of law (including Federal and State as well as International securities law analysis and compliance). Oversee aspects of litigation related matters (respond to subpoenas, conduct document collections, review, and productions, prepare witnesses for depositions, review pleadings and briefs, etc.). Review and evaluate litigation, litigation opportunities, and litigation risk in various domestic and international jurisdictions. Work with and oversee outside counsel on a variety of legal matters, ensuring that standards for service delivery and cost are controlled efficiently. Work with client-service and sales groups to respond to client and prospective client inquiries regarding litigation and regulatory inquiries. Respond to global regulatory requests and audits, including assisting with regulatory inquiries and exams such as SEC, FINRA, DOL, CFTC, NFA, IRS, FCA, and ASIC. Perform additional responsibilities in the Legal Department as requested.
Qualification and Experience
Qualifications: JD Degree from a top law school. Member of Texas State Bar preferred; Member of a US State Bar required. 4+ years of practice (with domestic and international securities or financial services litigation experience) in a top-tier law firm, with a regulator or in-house corporate or funds attorney. Experience with e-discovery. Very strong communication skills (verbal and written). Detail oriented and organized. Able to work well in a team environment. Self-starter who is capable of managing multiple projects and meeting deadlines. Proficient in Microsoft Office (Word, Excel, Outlook). Experience with Investment Company Act of 1940, Investment Advisers Act, ERISA, and/or cybersecurity laws considered a bonus.
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