This role will be responsible for supporting a diverse range of day-to-day corporate legal needs of global sales, client servicing and marketing activities. This role will work with legal, compliance and business partners at all levels of the organization with respect to international, federal and state securities laws concerning the sale of investment advisory services and products globally.
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- Serve as the primary legal advisor to Digital Marketing and Corporate Communications teams, helping them to design and execute digital marketing and social media initiatives.
- Review global marketing materials related to the sale of advisory services, U.S. registered funds and UCITS.
- Collaborate with attorneys globally regarding legal, regulatory and compliance issues related to fund and investment adviser marketing, private placements, and other matters supported by the group.
- Partner with global sales, client servicing, marketing, product development, research and compliance departments to identify and manage legal issues and risks regarding advisor and product registration, including, for example, the ability to market advisory services globally.
- Work with and oversee outside counsel globally on a variety of legal matters, ensuring that standards for service delivery and cost are met.
- 3-5+ years of practicing law in investment management, including experience with SEC and FINRA advertising rules. Preferably with a top-tier law firm or in the legal department of a broker-dealer and/or investment adviser.
- JD from a top law school.
- Membership in a U.S. state bar required; member of Texas or North Carolina State Bar preferred.
- Demonstrated experience reviewing a variety of broker-dealer and/or investment adviser marketing materials, including digital marketing, for legal issues specific to financial services or other regulated industries.
- Excellent verbal and written communication skills, as well as an ability to communicate with nonlawyer business partners in a clear and understandable way.
- Experience with the Investment Company Act of 1940 and the Investment Advisers Act of 1940 required; experience with various foreign investment advisor laws and regulations preferred.
- Able to work well in a team environment; experience working in a work-from-home environment preferred.
- Self-starter who enjoys working in a team environment and can manage multiple time-sensitive projects involving different business and support groups.