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Years of Experience
Date Last Verified
Vice President, Counsel â€“ Retirement Plan and ERISA The candidate will be supporting the Divisionâ€™s bank collective investment fund business with eligibility and investment questions, applications for IRS determination letters of tax-exempt status, securities and commodities law exemptions and state blue sky compliance matters, and negotiation and drafting of agreements with investment sub-advisors, insurance companies, trading platforms, custodians, transfer agents and administrative service providers for the funds. Supporting the Division in its roles acting as custodian, transfer agent, and administrative service provider for collective investment funds trusteed by other banks. Serving as one of the legal advisors to the Retirement and Institutional Investment Services Division (the â€œDivisionâ€), including providing ongoing day-to-day legal advice and support for the Division. Negotiating and drafting customer agreements for services offered by the Division. Identifying, evaluating and escalating legal and regulatory risks affecting the Division. Overseeing external counsel used to support the Division. Providing legal support for special projects, such as reviewing, rationalizing, and updating template contracts and administrative forms used by the Division. Partnering with the organizationâ€™s compliance, risk and audit groups on Division matters. Providing legal analysis of new business opportunities and new service offerings. Developing and implementing strategic policies and procedures for the legal support of the Division. Providing legal support to the Division for enterprise-wide projects and matters. Keeping senior management and other personnel up to date on pertinent legal and regulatory developments, including legal risks.
Qualification and Experience
The candidate must have JD degree and licensed to practice law in New York or Delaware (or ability to obtain an in-house counsel license in New York or Delaware, as applicable). Should have 3+ years of relevant experience. Ability to handle multiple tasks, take on new responsibilities, and prioritize work in a deadline-intensive environment; experience in leading and facilitating change is required. Experience advising on transactions involving plan assets subject to ERISA and the Internal Revenue Code is needed. Experience identifying, evaluating and escalating legal risk issues is must. Demonstrated experience in leading others, both through direct relationships and/or indirectly (influencing without direct authority) is essential.
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