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Investment Advisory Attorney The candidate will be providing dedicated legal support on the development and maintenance of investment advisory programs - from initial strategy to launch. Will be coordinating with field legal and branch management to review and explain the impact of custom legal provision(s). Will be interfacing directly with clients and their legal counsel to address questions and concerns. Conducting annual review of Form ADVs, contract templates, policies and procedures and program training modules. Interfacing with outside counsel and in-house Legal and Compliance partners to address issues or evaluate new business opportunities. Reviewing asset allocation, portfolio analytic tools, performance reports and marketing materials to ensure compliance with applicable rules. Must have a JD degree required with current state Bar admission. Should have in-depth experience in the investment advisory area. Must have 5+ years of practical in-house experience with Investment Advisory matters for a Wealth Management firm. Should have strong drafting and negotiating skills and in-depth experience in reviewing marketing materials for compliance with FINRA, NYSE and SEC rules. Should have proven background and understanding of the wealth management business and the associated legal and regulatory issues of dual registrants and broker-dealers. Should be an excellent communicator with the ability to distill complex topics into simple language.
Job Reference #:170468BR
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