Senior Legal Counsel
4 weeks ago
About the Role
We are seeking a highly skilled Senior Legal Counsel to lead our team of attorneys and legal professionals responsible for all legal matters and related rules governing our mutual funds and ETFs.
As Managing Legal Counsel for US Collective Funds, you will work collaboratively to solve complex issues and legal questions posed by business units and investment staff with respect to matters related to the US Collective Funds.
This includes providing advice on the impact of new and proposed regulations as well as the development of new US Collective Funds and other similar vehicles, related services, strategies and initiatives.
You will oversee the prospectus production process for the mutual funds and ETFs, which includes the necessary filings and governance actions as well as communications with the Securities Exchange Commission.
Additionally, you will oversee senior attorneys that draft advisory and sub-advisory investment management agreements, review and complete client Requests for Proposals and due diligence questionnaires and respond to internal and client questions regarding mutual fund and ETF applicable regulations and disclosure requirements.
Key Responsibilities
- Manage a team of senior attorneys and legal professionals to provide practical advice on all matters relating to the US Collective Funds.
- Partner with business, Legal, and Compliance colleagues to influence decisions related to the business unit's support of the US Collective Funds.
- Provide leadership and direction, typically to senior-level business unit associates focused on the development and ongoing maintenance of the US Collective Funds.
- Provide advice on proposed, new and existing rules and regulations affecting the US Collective Funds, with a primary focus on the Investment Company Act of 1940 and the Investment Advisers Act of 1940.
- Presents to the mutual fund/ETF Board of Directors.
Requirements
- JD Required
- 15+ years of total relevant work experience and 10+ years of management experience.
Preferred Qualifications
- An ideal candidate will have both a strong working knowledge of the laws/rules affecting US Collective Funds, including Investment Company Act of 1940, Investment Advisers Act of 1940.
- Familiarity with relevant provisions of the Securities Act of 1933 and Securities Exchange Act of 1934.
- Previous experience advising on legal matters relating to the US Collective Funds, including working with Product development, Investment Staff, Senior Leaders and a mutual fund/ETF Board of Directors.
- Experience managing senior attorneys and legal professionals.
Benefits
We invest in our people through a wide range of programs and benefits, including:
- Competitive pay and bonuses as well as a generous retirement plan and employee stock purchase plan with matching contributions
- Flexible work opportunities
- Health care benefits (medical, dental, vision)
- Tuition assistance
- Wellness programs (fitness reimbursement, Employee Assistance Program)
We are an equal opportunity employer and values diversity of thought, gender, and race. We believe our continued success depends upon the equal treatment of all associates and applicants for employment without discrimination on the basis of race, religion, creed, color, national origin, sex, gender, age, mental or physical disability, marital status, sexual orientation, gender identity or expression, citizenship status, military or veteran status, pregnancy, or any other classification protected by country, federal, state, or local law.
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