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In-House
Attorney
Corporate - Asset/Investment Management
Min 4 yrs required
Counsel - Regulatory and Trading The candidate will advise company on general regulatory issues related to company's status as a globally regulated investment adviser and manager of registered investment companies, including advising on issues with the Securities and Exchange Commission and on other corporate matters related to the functioning of a globally registered investment adviser. Will report to the Head of the Regulatory and Trading Legal Team. Provide legal advice on regulatory issues related to company's status as a registered investment adviser. Provide advice and assistance with respect to the Investment Company Act and the various open and closed-end registered funds. Review new industry rules and regulations to determine the impact to company and any needed action or advocacy. Provide assistance during SEC and other regulatory examinations. Provide advice with respect to Commodity Exchange Act questions and other derivatives questions. Review and analyze rulemakings under various US regulatory regimes. Provide support and guidance to other corporate projects and initiatives. Should have a J.D. degree from a highly-regarded law school and be licensed to practice law in North Carolina (or another US jurisdiction, with the ability to obtain license in North Carolina). Must have 4+ years of experience working with the Adviser's Act and or the Investment Company Act.
Ref. #: JR_000293
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