Description:
An Investment Management Company is a leading provider of financial products and services to individual and institutional investors world-wide. In addition, An Investment Management Company is an employer of choice that continually invests in the growth, development, and success of its employees (crew members) over the course of their An Investment Management Company careers. An Investment Management Company's Office of the General Counsel addresses a wide range of complex and compelling legal and compliance issues. To continue supporting its growing business, An Investment Management Company is seeking a Senior Counsel, Governance focusing on federal and state laws applicable to investment limitations. This role will focus primarily on legal, regulatory, and governance matters.Candidates must share An Investment Management Company's core values, including unmatched ethical standards and client service, strong work ethic, and can-do attitude. Candidates must champion a team environment by building collaborative and trusting relationships with others. Additionally, candidates must be skilled at influencing legal colleagues, in-house corporate partners, and business clients at all levels, including senior management.
In this role you will…
- Provide business leaders with legal advice on issues impacting An Investment Management Company's business activities, such as portfolio management, product development, strategic transactions, regulatory initiatives, and governance matters.
- Provide investors with the best chance of investment success by ensuring that the An Investment Management Company funds comply with all relevant laws and regulations.
- Develop expertise in global investment law, An Investment Management Company's business and products, and the asset management industry.
- Proactively tackle novel issues within the asset management industry by leveraging collaboration, innovation, and problem-solving skills.
- Proactively engage with regulators at the state and federal level.
- Draft and negotiate legal documents such as regulatory filings, contracts, agreements, and correspondence of legal significance.
- Direct any work being performed by outside counsel.
What It Takes:
- Excellent judgment, communication, and relationship management skills
- Experience offering legal services related to securities regulation and governance matters
- 5 plus years of relevant legal work experience
- Undergraduate degree and Law degree (JD)
- Familiarity with Securities Act of 1933 and Securities Exchange Act of 1934
- Knowledge of mutual fund law and federal banking laws is a plus, but not required
