Legal Counsel Investment Management
Role description
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;
Provide 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.
Skills, experience, qualifications and knowledge required
- 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;
- Must have 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, 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.
Nomura Leadership Behaviors
Explore Insights & Vision
Making Strategic Decisions
Inspire Entrepreneurship in People
Elevate Organizational Capability
Inclusion