Senior Legal Counsel

3 weeks ago

Charlotte, United States Guardian Capital Group Full time

JOB TITLE: Senior Legal Counsel

DEPARTMENT: Legal, Sterling Capital Management LLC (“Sterling”)

REPORTS TO: Vice-President, Legal, Guardian Capital Group Limited (“Guardian”)

LOCATION: 4350 Congress Street, Suite 1000, Charlotte, North Carolina


JOB STATEMENT:

Guardian seeks an experienced Senior Legal Counsel to assume a new role supporting the firm’s U.S. operations. Guardian, a public investment management firm, is in an exciting period of U.S. growth and expansion. This position will give a strong candidate the chance to play a meaningful role in novel and challenging projects. Working from Sterling’s headquarters in Charlotte, this individual will be the primary legal contact supporting all of Guardian’s U.S. activities. This individual will join Guardian’s existing Legal team as its U.S. specialist, providing U.S. legal expertise wherever required to support Guardian’s broader operations. In addition to working closely with Sterling’s leadership team, the successful candidate will be a resource to leaders at Guardian’s other businesses, including its U.S. businesses in Salt Lake City, Utah and Richmond, Virginia.


The individual will be a key contributor on a wide variety of legal matters and provide direct, day-to-day legal and operational support to the firm’s various business units. Their work will support daily operations, ranging from investment management, private client, retail investment funds (mutual funds and ETFs) and general corporate/commercial contracts. This individual will also be a key resource on special projects including U.S. fund formation and other transactional work. Departments requiring legal support include operations, compliance, product development, marketing, portfolio management, trading, client relationship management, advisor relations, business development and human resources.


ESSENTIAL FUNCTIONS:

  • Supporting Guardian’s growing U.S. investment management business, including retail fund launches, product updates and prospectus renewals;
  • Drafting and negotiating investment management agreements, commercial contracts, corporate records, policies and procedures and a variety of other legal documents;
  • Reviewing and revising public documents in light of applicable regulatory requirements;
  • Working closely with the Sterling and other Guardian Compliance teams to respond to U.S. regulatory changes;
  • Providing advice and supporting connection with corporate filings and related obligations;
  • Providing support on the management of legal and business risks;
  • Managing the engagement of external counsel; and
  • Managing or participating in special projects, as assigned.


QUALIFICATIONS:

  • Law degree from a recognized university and a member in good standing of the North Carolina State Bar
  • At least 6-8 years of experience in an in-house legal department or law firm
  • Direct experience in the financial advisory, investment management or investment fund industry, with working knowledge of U.S. laws and regulations applicable to the securities industry, registered investment advisers, and investment funds
  • Excellent oral and written communication skills, and keen attention to detail
  • Excellent organizational skills, self-motivated and able to work efficiently and effectively, both independently and in a team environment
  • CFA designation, or completion of other securities industry courses and programs, an asset
  • Experience in Canada, European or other international markets, an asset


COMPENSATION:

  • Commensurate with experience

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