Legal Counsel Investment Management

Nomura is a global financial services group with an integrated network spanning over 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Wholesale (Global Markets and Investment Banking), and Investment Management. Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership.

About the role

This position is within the Legal Investment Management Department, based in midtown New York (Hybrid).

Responsibilities

• Drafting, reviewing and negotiating a variety of transactional documents relating to asset management, such as investment management agreements, sub-advisory agreements, side-letters, restructuring support agreements, leveraged loan documentation, and fund documentation as well as commercial agreements (including vendor service agreements, non-disclosure agreements and research subscription agreements).
• Providing legal analysis of risks associated with the terms and conditions of such agreements.
• Assistance with ad-hoc legal projects, review of request for proposals, DDQs, Forms ADV, policies and procedures.
• Providing advice and counsel to business teams on legal matters affecting the business.
• Researching, advising and assisting in the structuring, regulatory analysis and launch of new products.
• Interpreting and assisting with the implementation of regulatory changes (both US and international) that impact asset management.

Requirements

• Law Degree / Juris Doctor.
• Minimum 4-6 years legal experience working in the financial services industry either in-house at a registered Investment Advisor or within a law firm.
• Strong contract drafting and negotiating skills across a wide range of complex transactional agreements.
• Securities law experience; with working knowledge of the Investment Advisors Act of 1940 and the Investment Company Act of 1940.
• Familiarity with pooled investment vehicles, bankruptcy reorganization, leveraged loan documentation, trading agreements, cybersecurity and ESG investing.
• Ability to work independently in a fast-paced environment and respond proactively to business needs.
• Excellent communication and interpersonal skills, with a high comfort level interacting effectively with all levels of staff and management.
• Ability to work independently, multi-task and manage numerous projects simultaneously under tight deadlines.
• Team player with strong organizational and time management skills in order to prioritize complex and time-sensitive projects.

Leadership Behaviors

• Explore Insights & Vision: Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future.
• Making Strategic Decisions: Evaluate all the options for resolving the problems and effectively prioritize actions or recommendations.
• Inspire Entrepreneurship in People: Inspire team members through effective communication of ideas and motivate them to actively enhance productivity.
• Elevate Organizational Capability: Engage proactively in professional development and enhance team productivity through the promotion of knowledge sharing.
• Inclusion: Foster a culture of inclusion and psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect).

Pay

The base pay range for this position at commencement of employment is expected to be between $175,000 and $225,000 per year. The total compensation package may also include a sign-on bonus, restricted stock units, and discretionary awards in addition to medical, financial, and other benefits (including 401(k) eligibility and paid time off).