SUMMARY:

• Our client, a global independently owned Investment Management Firm, is seeking a Legal Counsel, North America to support the company's North American legal and regulatory affairs. The company's activities focus on contract negotiation; projects that require legal input; general legal advice to the business; and separate account and pooled fund work.
• The successful candidate will be the Legal Department’s first full-time attorney based in New York, and will work as part of a small legal department based in Europe. The successful candidate will provide pragmatic and proactive legal advice to the relevant business areas and contribute to the effective implementation of North American regulatory changes.
• Must have a strong background in asset management, with specific experience with Mutual Funds and the Investment Advisers Act of 1940 and Investment Company Act of 1940.
• This is an excellent opportunity to lead the North American legal and regulatory affairs of a premier global Investment Management Firm with and fast-growing operations in the U.S. and Canada.

REPORTING:
Will report to the Company General Counsel based in Europe.

RESPONSIBILITIES:
The successful candidate will assist the business by identifying and managing legal risks and work on a variety of tasks, including the following:

• Provide legal advice on a broad range of legal and regulatory matters relating to public and private funds and separate account issues
• Handle fund registration and disclosure matters
• Assist in the preparation of mutual fund board meetings, launching of new funds both registered and unregistered, drafting and updating of fund prospectuses and related documents.
• Assist with the management or the company's collective investment trust and group trust vehicles
• Work with portfolio management and other business groups in the development and management of funds and operational issues
• Address regulatory and compliance issues relating to investments in various asset classes
• Negotiate Fund service provider agreements and other related agreements
• Negotiate agreements among the company's Mutual Fund range and platform, introducing brokers and other intermediaries
• Support the Compliance Department in responding to regulatory inquiries
• Negotiate Investment Advisory Agreements for segregated account clients and related agreements
• Provide assistance with onboarding and monitor model delivery and separately managed account clients
• Provide accurate timely and business focused North American legal and compliance advice to other business areas and provide compliance and legal input to projects and business developments
• Attend appropriate industry/peer group events in the United States to identify and report relevant matters to the team
• Support the whole Legal Department in the drafting, review and amendment of legal agreements with suppliers, services providers and clients with a focus on North American and Canada
• Be involved in training and developing other attorneys in the company's legal department (no direct line management responsibilities)

REQUIREMENTS:

• J.D. degree from an accredited law school with strong academic credentials.
• Between 5-7 years of asset management experience (law firm and/or in-house), with specific experience with Mutual Funds and the Investment Advisers Act of 1940 and Investment Company Act of 1940.
• Knowledge of ERISA issues, securities, U.S. tax and other regulations impacting registered advisers and regulated funds related to investment management would be a strong plus.
• Must be admitted to either the New York or Massachusetts Bar; but will consider other state bar qualifications if can be admitted on motion to the NY and/or MA bar.
• Some international travel will be required.

PERSONAL ATTRIBUTES:

• Ability to prioritize work in order to meet deadlines
• Ability to work under pressure
• Skilled in the planning and delivery of tasks and ensuring that they are completed to a high quality
• Ability to work effectively as part of a team, as well as on own initiative, with minimal supervision
• Excellent communication skills, both verbal and written with the ability to communicate at all levels, including with team members and stakeholders based in other geographical locations
• Good attention to detail, accuracy, client focus, teamwork, and excellent communication skills

NO PHONE CALLS PLEASE.
All materials submitted and inquiries made with ESQ Recruiting are kept strictly confidential.“Company has retained the services of ESQ Recruiting on an exclusive basis.”
Only candidates who meet ALL of the requirements listed above will be given serious consideration. Apply directly to the position by selecting the "Apply" button or through our website.