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Years of Experience
ProfileAssistant General Counsel The candidate will provide advice on 1940 Act/mutual fund issues relating to Wilmington Trust's proprietary mutual funds, including board meetings, compliance, agreement negotiation and new products. Will provide advice to registered investment advisers ("RIAs") on new and existing laws and rules, as well as negotiate client, vendor and intercompany agreements for RIAs. Assist with legal support for Wilmington Trust's proprietary and third-party private investment fund activities. Provide advice to the Retirement Plan Services, Global Capital Markets ('GCM') and Wealth Advisory Services ('WAS') divisions of WISD relating to the investment of fiduciary and non-fiduciary customer assets in third party and proprietary mutual funds and private funds. Provide legal support to the primary/chief compliance officers of the WISD business lines on investment-related matters and regulatory requirements. Assist other attorneys in the Legal Department to advise on mutual fund, private fund and registered investment advisor issues, including negotiating agreements with third party mutual funds, such as servicing agreements, recordkeeping agreements and third party access agreements. Identify, evaluate and escalate legal and regulatory risks affecting WISD that relate to investment management, including assisting with the review of business line practices and procedures to conform with legal requirements and to mitigate risk. Partner with the organization's compliance, risk and audit groups; keep senior management and other personnel up to date on pertinent legal and regulatory developments, including legal risks. Conduct research and participate in industry association meetings and think-tanks to keep abreast of relevant laws, regulations, legal developments and industry issues. JD degree is needed. New York State or applicable state Bar admission is needed. Should have 7+ years of proven and progressive corporate legal experience in a law firm and/or corporate environment. Should have 5+ years of leadership experience. Extensive experience advising on the Investment Company Act of 1940 and Investment Advisers Act of 1940, as well as the 1933 and 1934 Acts and SEC regulations are needed. Experience working with senior managers and managing this experience in an open and proactive manner is essential. Baseline knowledge of financial services, banking products and related regulation is needed. Transactional background, familiarity with acquisitions, complex contracts and general commercial operation is needed.
The M&T Bank
1 MT Plaza
Buffalo, NY 14203