Director, Associate Counsel – Wealth

Major Responsibilities/Activities

• Provide legal advice and support on issues relating to the firm’s U.S. registered open- and closed-end funds, exchange-traded funds, retail separately managed accounts, model-based programs and sub-advisory relationships with particular emphasis on contracts, distribution, product development, marketing and sales practices
• Aid in preparation of materials for board meetings; attend board meetings and draft minutes
• Draft organizational documents, board actions, investment management agreements and service provider contracts
• Handle regulatory issues, general legal matters and work closely with the compliance and fund administration team
• Prepare and file annual prospectus updates and draft registration statements for new funds and series; oversee all other required 1940 Act filings
• Review and negotiate distribution, platform and other agreements with fund intermediaries
• Work closely with senior management

Minimum Requirements

• Attorney with top credentials, at least 2-4 years of related experience in-house, regulatory, or leading law firm required
• Has detailed knowledge of securities laws applicable to registered investment companies including the Investment Company Act of 1940
• Experience with the following:
• Open-end funds, closed-end funds, exchange-traded funds and other registered products
• Legal issues relating to asset management
• Negotiating and drafting contracts
• Intelligent, bright, conceptual thinker and a quick learner with the ability to quickly assess a situation and generate new insights and usable ideas
• Outstanding reputation of professional integrity and have the potential to be immediately, personally credible within the organization and in the investment and client communities
• Hardworking with an ability to multi-task in a dynamic work environment
• An independent entrepreneurial self-starter with the ability to get things done
• Excellent communication and presentation skills
• Consensus builder and team player with the ability to work well on a team and within an organization
• Cultural skills and sensitivities to work effectively in a global organization
• In-office collaboration in critical
• Knowledge of securities laws applicable to registered investment advisers including the Investment Adviser’s Act of 1940
• Experience with the following is preferred, but not required:
• Separately managed accounts and model-based programs
• Sub-advisory relationships
• Compliance policies and procedures
• ISDA Master Agreements and other ancillary documentation for derivatives business
• Issues faced by Broker/Dealers