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Years of Experience
Date Last Verified
Lead Paralegal Duties : The candidate will work with various business units in a wide variety of complex legal and compliance matters. Will identify, research, analyze, comment on and monitor legal issues and draft legal documents pertaining to their area of expertise and the areas of business they support. May work with business unit management to discuss legal issues and interact with regulators, clients, other Legal Analysts and Senior Legal Counsel and Legal Counsel as required. Will be tasked with complex contract responsibilities associated with documentation relating to the firmâ€™s U.S. institutional separate account and retail SMA (i.e., managed account) clients. Should independent review and draft agreements, amendments, and other related documents. May be responsible for the negotiation process up to a signature requirement. Conducts independent reviews during the negotiation of contracts and agreements, and conducts the review of documents and determines areas that do not meet TRP standards. Drafts legal documents such as client contracts, guidelines and amendments to ensure consistent and legally sound practices are adhered to within each business unit. May complete negotiation process up to signature, with consult from Legal Counsel on particularly sensitive or novel issues. Creates amendments to existing contracts that are consistent with both TRP and client standards. Researches regulatory requirements and legal issues which arise on an ongoing basis in connection with portfolio management and contract negotiation to determine the impact and next steps. Supports Senior Legal Counsel and Legal Counsel primarily with regard to Priceâ€™s U.S. institutional separate account and retail SMA activity. Analyzes and researches legal matters within a business unit and firm-wide and presents to the attorneys the results of this research including interpretations, findings, and recommendations. Understands business implications of changes in regulations and advises businesses of such changes. Ensures any process changes implemented by the businesses (e.g., improvements or streamlining of procedures) are in compliance with all applicable regulations. Drafts responses and assists Sr. Legal Counsel and Legal Counsel in connection with the review of requests for proposals, due diligence questionnaire, client questionnaires and certifications, and other related matters applicable to Priceâ€™s U.S. institutional separate accounts as well as retail SMA. Reviews and analyzes current and/or pending regulations to determine the impacts to the advisory business. Consults with relevant internal & external parties to determine necessary actions. Collaborates with counsel and business partners to implement and ensure continued compliance with regulations.
Qualification and Experience
Requirements : The candidate should have a College degree and 2 years of related work experience, or an Associate degree and 4 years related work experience, or High School diploma/equivalent and 6 years related work experience. Should have demonstrated specialist in area of expertise. Should have excellent interpersonal and influencing skills and ability to explain legal matters to clients and non-legal personnel. Should handle heavy workloads within tight timeframes. Work independently, but also as part of a team and apply sound decision making skills. Preferably have college Degree and additional 3+ years of previous regulatory, industry, and/or paralegal experience in the area of expertise. Work experience in a legal or business environment. Must have familiarity with the Investment Advisers Act of 1940 or investment advisory activities or financial services in general.
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