Financial InstitutionsJob #: R50 Exp.: 4+ Years
Role Overview PFMAM is seeing an attorney to join the legal and compliance team to support the firm's investment advisory activities. This role will provide legal support to PFMAM’s investment advisory operations.
Primary responsibilities include:
Advising PFMAM senior management on regulatory initiatives.
Assisting with regulatory and internal reviews, exams, and audits.
Assisting with drafting and maintaining policies and procedures.
Maintaining current knowledge of applicable federal and state laws and regulations, and monitoring regulatory developments to ensure organizational adaptation and compliance.
Preparing, reviewing, and negotiating contracts and other legal documents or requirements with a focus on conforming to federal statutory requirements and company policies.
Reviewing responses to requests for proposals and company marketing/client information materials for conformity with law and company policies.
Assessing risks and providing advice concerning various issues and agreements arising within key operations of the companies and the corresponding administrative functions.
Providing training to company employees on legal requirements for conducting PFMAM’s business.
Reviewing and coordinating activities of outside counsel within assigned areas of responsibility.
Reviewing documents and electronic discovery in response to third-party subpoenas.
This position offers candidates a career with exposure to a variety of legal issues, while working with PFMAM leaders to serve as a trusted legal and business advisor. We value independent workers and applicants who have a pragmatic approach to practicing corporate law within a diverse group of affiliates. The successful candidate will help us properly prioritize our legal advisory responsibilities, and then be effective, efficient and practical in accomplishing them. This position is expected to be located in Minneapolis, MN, Harrisburg, PA, or Philadelphia, PA (although other locations will be considered), is a hybrid position (3 workdays per week in the office and 2 workdays remote), and reports to the Chief Compliance Officer of PFMAM. Occasional travel to various PFMAM offices may be required.
Qualifications and Preferred Skills:
Law degree with strong academic credentials.
Licensed to practice law and in good standing.
4+ years of in-house legal department or law firm experience advising financial institutions.
Corporate governance experience preferred.
Experience advising investment advisors or investment companies concerning securities law, municipal securities, and regulatory requirements is preferred.
Strong analytical skills.
The ability to work independently and manage a constantly changing workflow.
Comfort with and interest in working on a variety of legal matters.
Excellent written, oral and interpersonal communication skills.
Strong commitment to client service.
If you are ready to experience the challenge, satisfaction, and reward of an opportunity with PFM, please apply here, or refer a qualified candidate.