Senior Counsel

Found in: Resume Library US A2 - 6 days ago

Cincinnati Ohio, United States Western & Southern Financial Group Full time
Overview:
Summary of Responsibilities:

Primary legal counsel to Touchstone Advisors and Touchstone Securities on transactional, securities and regulatory matters relating to the registration and operation of the Touchstone Mutual Fund complex and compliance with Investment Company Action of 1940 (“40 Act”) and secretary of the Touchstone Mutual Fund board of directors. Responsibilities include review of and/or drafting a variety of fund-related agreements, including third-party distribution, administration and marketing arrangements; review of registration statements and other Securities and Exchange Commission (SEC) filings, including drafting disclosure as appropriate; working with the chief compliance officer (COO) to develop and implement compliance programs; leading Touchstone in preparation of materials for trust board meetings; review of numerous types of external communications; supporting Touchstone with respect to regulatory exams or inquiries; and drafting, managing and completing required SEC filings to implement fund formations, dissolutions, reorganizations, proxy solicitations and mergers and acquisitions of investment companies. Provide legal services on complex matters and/or matters involving large dollar amounts with little direction or supervision.

Responsibilities:
Position Responsibilities:

Advises Touchstone management on all legal matters with little direction or supervision.

Communicates and negotiates with other attorneys and regulatory authorities to resolve disputes with little direction or supervision.

Drafts complex legal documents and required filings with the SEC required in connection with the summary of responsibilities, and oversees the timely and accurate filing of all required regulatory filings.

Effectively and efficiently manages outside counsel (fund and independent trustee counsel) substantively on issues as well as on budget.

Manages and oversees third-party service provider (BoNY) that provides board materials.

Ensures funds compliance with SEC filing requirements with respect to registration statements, annual and semi-annual reports, prospectus updates, proxy statement and registration of fund shares.

Secretary for designated fund board and committee meetings; attends such meetings and maintains minutes; represents items to and leads discussions with board members; leads development of board materials.

Assists other attorneys as needed with major parts of complex projects with little direct supervision.

Qualifications:
Selection Criteria:

Substantial (10-plus years) experience in 40 Act investment company matters supporting all legal needs/requirements of a diversified mutual fund complex, including familiarity with funds investing in equity, fixed income, money market and alternative investments and the legal requirements relating thereto.

Comprehensive knowledge of securities law and mutual fund operations.

Excellent written and verbal communication and technical drafting/writing skills.

Able to manage and prioritize multiple competing priorities; meeting deadlines is imperative.

Extensive experience in a corporate legal department and/or law firm, working independently with clients on complex matters with little supervision.

Strong leadership abilities and excellent communication/interpersonal skills.

Excellent issue identification, negotiation and conflict resolution skills (creativity and problem solving).

Sound judgment and initiative in selecting the most effective solutions.

Detail-oriented and resourceful with excellent follow-through skills.

Ability to work under pressure, prioritize and manage multiple tasks.

Demonstrated ability to build collaborative relationships with executive leadership, and to influence others beyond direct control, both inside and outside the company.

Work Setting:

Works in an office setting and remains continuously in a stationary position for long periods of time while working at a desk, on a computer or with other standard office equipment, or while in meetings.

Educational Requirements:

Juris Doctor degree in law from accredited law school and above average class standing.

Computer Skills and Knowledge of Hardware & Software Required:

Proficient in the use of Word, PowerPoint and Outlook.

Certifications & Licenses (i.e., Series 6 & 63, CPA, etc.):

License to practice law in Ohio.

Position Demands:

Extended hours required during peak workloads or special projects.

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