Job Details

Corporate Investment Company Act Attorney / Corporate Securities and Capital Markets Attorney in Dallas TX

Organization Type


Job Type


Posted on

Sep 11,2019

Years of Experience

Min 6 yrs required


Dallas, TX, United States
Practice Area
Corporate >> Corporate - Investment Company Act
Corporate >> Corporate - Securities and Capital Markets
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Associate Attorney
The candidate will support the General Counsel in **MEMBERS ONLY**SIGN UP NOW***.’ multiple businesses in a myriad of activities related to general corporate matters, private equity funds, investment management firms, contract review and negotiation, investment advisory and real estate joint ventures and financing's .Oversee foreign marketing, registrations and ongoing compliance filings in partnership with Compliance. Partner with Chief Compliance Officers in monitoring and ensuring segregation of operating businesses,. Work with Chief Compliance Officers on ADV and other regulatory filings/updates for RIAs. Assist compliance and operating businesses in KYC/OFAC program. Provide legal counsel and assist investor services groups on various matters and in interpreting and application of fund documents. Assist with review of marketing materials; assist with new product development. Oversee outside counsel on various real estate joint venture negotiations and financings,. Assist with due diligence process and approvals within the development companies. Monitor routine litigation matters for the enterprise, Conduct research, review, analysis, drafting, and approval of various documents, contracts, policies, procedures and obligations to which the company is or may become a party.

Qualification and Experience

The candidate should have J.D. degree from an accredited Law School and 6+ years’ experience with a major law firm. Significant regulatory experience with the Investment Advisers Act, including regulatory experience with the Securities Act of 1933, the Securities Exchange Act of 1934, and applicable FINRA rules helpful. Familiarity with the day-to-day operations of investment advisers and related service providers helpful. Must be able to write effectively, and present research, analysis and conclusions in a persuasive manner, and build relationships with professionals at all levels of the organization. Key traits for success: Strong work ethic; Excellent communication skills; Reliable and team-oriented; Relationship builder; Flexible; Organized; Detail-oriented; Analytical problem solver; good business judgement. Ability to apply discretion in dealing with highly confidential information.

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