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In-House
Attorney
Corporate - Asset/Investment Management
Min 4 yrs required
Corporate Counsel / Asset Management Attorney Responsibilities: Advising senior management on regulatory initiatives. Assisting with regulatory and internal reviews, exams, and audits. Assisting with drafting and maintaining policies and procedures. Maintaining current knowledge of applicable federal and state laws and regulations, and monitoring regulatory developments to ensure organizational adaptation and compliance. Preparing, reviewing, and negotiating contracts and other legal documents or requirements with a focus on conforming to federal statutory requirements and company policies. Reviewing responses to requests for proposals and company marketing/client information materials for conformity with law and company policies. Assessing risks and providing advice concerning various issues and agreements arising within key operations of the companies and the corresponding administrative functions. Providing training to company employees on legal requirements for conducting business. Reviewing and coordinating activities of outside counsel within assigned areas of responsibility. Reviewing documents and electronic discovery in response to third-party subpoenas.
Qualification and Experience
Qualifications: Law degree with strong academic credentials. Licensed to practice law and in good standing. 4+ years of in-house legal department or law firm experience advising financial institutions. Corporate governance experience preferred. Experience advising investment advisors or investment companies concerning securities law, municipal securities, and regulatory requirements is preferred. Strong analytical skills. The ability to work independently and manage a constantly changing workflow. Comfort with and interest in working on a variety of legal matters. Excellent written, oral and interpersonal communication skills. Strong commitment to client service.
Ref. R50
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