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Legal and Compliance Counsel
Refer job# EIRN135880
Legal and Compliance Counsel The candidate will be providing counsel on investment management, strategic partnerships, technology, intellectual property, trading, contractual, and information security legal issues. Will be drafting and negotiating partnership agreements, investment management agreements, commercial contracts, supplier/vendor agreements, product terms of use, service agreements, nondisclosure agreements, and other arrangements with clients, financial institutions, intermediaries and service providers. Analyzing and adapting to developments in the fintech space. Helping to implement legal risk mitigation strategies (e.g., data privacy) across multiple disciplines (e.g., client contracts, vendor contracts, operational systems and compliance). Assisting with the development and implementation of compliance policies and procedures, in addition to working on long-term projects to maintain the firm's high standards of compliance with new and existing regulations. Reviewing and assisting with the preparation of marketing materials, disclosure documents, and press releases in accordance with the Advisers Act. Supporting regulatory audits and examinations, assist with information requests and inquiries. Providing legal and compliance support and practical advice to firm s business development, engineering, implementation, investments and operations teams.

The candidate should have a JD degree with superior academic credentials from a nationally-recognized law school, State Bar membership and 3+ years of experience as a lawyer in the legal department of a leading financial services organization or a major law firm. An understanding of current legal issues in retail wealth management and/or the financial technology industry is desirable. Must understand the regulatory environment, including the Investment Advisers Act, the Securities Act, the Securities Exchange Act, and the Investment Company Act. Experience with technology law matters essential. Familiarity with ERISA s prohibited transaction rules and other provisions applicable to investment managers is desired.
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