Firm’s Legal division is an in-house team of attorneys, paralegals, and legal assistants that are client-focused and partner with internal and external teams to help provide legal expertise across business functions, legal systems, and jurisdictions. The Attorney will assist with the day-to-day corporate legal needs of investment advisor work, including federal and state and international securities law analysis and portfolio management and trading compliance-related issues.
Support global large shareholder reporting obligations and related matters (e.g., poison pill monitoring, takeover panel filings) as well as global corporate action review.
Research, develop, prepare, and analyze issues related to a variety of legal documentation, such as investment advisor registrations. Ensure this documentation is in compliance with applicable multi-jurisdictional regulatory law.
Review and interpret statutes, rules, and policies relevant to the regulatory functions, its corporate subsidiaries, and its fund complexes and work with clients to meet their business objectives in the applicable regulatory environment.
Negotiate contracts or deals with third party vendors, such as brokerage houses, service organizations, custodial banks, institutional clients, or external research services.
Prepare and, when requested, present materials, such as memoranda, agendas, and meeting minutes for internal meetings, committee meetings, or the meetings of the various Boards, its subsidiary companies, or its fund complexes. Identify legal issues and provide legal advice of importance to the Boards.
JD from a top law school and 4-6 years of practice in a top-tier law firm or in-house with an investment adviser or investment fund
Member of State Bar
Knowledge of complex contracts, corporate transactions, and securities regulatory work. Experience with investment adviser and/or mutual fund issues is highly desirable.
Must have substantial knowledge of federal securities law and corporate law; familiarity with Investment Company Act and Investment Advisers Act of 1940 highly desired.
Familiarity with foreign investment company, investment adviser and securities laws a plus.
Very strong communication skills (verbal and written) and exceptional writing skills
Detail oriented, organized, and professional with to work well in a team environment
Self-starter who is capable of managing multiple projects and meeting deadlines
Proficient in Microsoft Office (Word, Excel, Outlook)