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Corporate - General Attorney in Santa Monica, CA

Dimensional Fund Advisors May 15,2018 Oct 16,2017 Location USA Santa Monica CA
This job is expired...

In-House

Attorney

Corporate - General

Min 7 yrs required

Profile

Counsel The candidate will assist the Legal Department with day-to-day corporate legal needs with an emphasis on providing legal advice for investment advisory services to be provided in Asian jurisdictions while seeking consistency across the global firm. In particular, will provide legal services to the firm’s Japanese, Singapore and Hong Kong subsidiaries. Perform investment adviser and commingled fund work (including securities law analysis for UCITS, OEICs and trusts in various jurisdictions) and will interact extensively with personnel in the offices of the firm's international subsidiaries. Research, develop and prepare a variety of legal documentation, such as investment advisor registrations, etc. Ensure such documentation is in compliance with applicable multi-jurisdictional regulatory law. Draft and negotiate investment management agreements for separate account clients located in a various jurisdictions, primarily in Asia. Review and interpret statutes, rules and policies which are relevant to the regulatory functions of firm's, its corporate subsidiaries and upkeep of its fund complexes, and work with clients to meet their business objectives within the regulatory environment. Negotiate contracts that firm's and/or its subsidiary companies and fund complexes may enter into with third party vendors, such as brokerage firms, service organizations, custodial banks, external research services, etc. Serve as legal consultant to business clients for special projects, such as the development of a new sales and marketing strategic alliances, corporate tax planning, etc. Prepare, and when requested, present materials for internal meetings, committee meetings, or the meetings of the various corporate boards of firm's, its subsidiary companies and its fund complexes as well as related shareholder meetings. These materials include agendas, minutes of the meetings, fee reviews, etc. Additionally, this individual may offer legal advice or identify issues of importance to the Boards. 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. Must be Member of a State Bar Association. Must have 7+ years of practice (complex contracts, corporate transactions, securities regulatory work, investment adviser and mutual fund issues) in a top-tier law firm and/or in-house mutual fund/investment advisor. Experience with the investment management laws of Japan, Singapore and Hong Kong is highly desirable. Familiarity with federal securities law and corporate law, and familiarity with Investment Company Act of 1940 and Investment Advisers Act is required. Ability to communicate and/or read and write in Mandarin, Japanese and/or Korean is highly desirable. Familiarity with foreign investment company, investment adviser and securities laws in Asia is desired. Experience with securities lending and/or derivatives is required. Must be proficient in Microsoft Office (Word, Excel, Outlook).

Additional info

Ref 2017-4466

Company info