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Deputy General Counsel
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Energy Service Company

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Associate Counsel - Securities Finance
Refer job# CQMN136229
Associate Counsel - Securities Finance The candidate s primary area of focus will be on the company s global securities financing activities including supporting business teams responsible for securities lending (both agent and direct lending) and repurchase transactions. This active and expanding business is subject to ever increasing global regulatory oversight with potential impact to the scope and structure of the market and business as well as to the underlying contracts. In addition to covering the business, help monitor global regulatory changes and coordinate efforts with legislators, regulators and trade associations to advocate for appropriate, effective and cost efficient regulations. Provide legal advice and counsel to the business and have responsibility for external consultants and counsel when necessary. Provide advice, counsels, and educates internal clients and business units (BUs) in order to advise, guide and raise awareness of applicable global legal issues impacting securities finance, as well as educate and inform for better compliance with applicable policies, regulations and laws. Conduct legal and/or factual research as necessary to support the needs and initiatives of the company. Draft and negotiate various legal documents and items of legal significance, as necessary, such as regulatory filings, contracts, memoranda, position statements, correspondence, and other documents and instruments including legal documentation for securities lending and borrowing as well as repurchase transactions, including market specific documentation and ancillary agreements such as guarantees and confidentiality agreements; resolve legal questions or disputes in performance of the same. Supports new services, product developments or initiatives undertaken by the company. Maintain a high level of expertise in applicable areas of the law, the company's business, the mutual fund industry, and the securities financing industry through attendance at functions discussing our business (e.g., Annual Meetings), keeps current on industry and regulatory developments affecting our business, fosters an interest in the company s initiatives and new services and products offered; and researches applicable law, reading legal publications, and/or attending legal seminars. Advance the Legal and Compliance Division s other projects, endeavors and standards by modeling and exemplifying the Division s standards (through work ethic, responsiveness to clients, attitude, adherence to the company s Code of Ethics and exercise of good judgment), implements new projects as necessary or appropriate, includes preparing documentation and presentations on key legal/regulatory developments affecting the firm and various business lines. Demonstrate judgment, creativity and technical expertise, breadth of vision and initiative, commitment and accomplishment, communication skills. Participate in special projects and performing other duties as assigned. Graduate degree or equivalent combination of training and experience required. Law degree (J.D. or equivalent) required. 4+ years of experience as an attorney and admitted into the state bar required. Prior in-house experience is a plus. Excellent knowledge of financial services activities required. Familiarity with key services provided by service providers to investment managers and financial institutions required. Knowledge and experience in securities lending, repurchase transactions, and custody arrangements (legal documentation and global regulatory framework), including MRAs, GMRAs, MSLAs, GMSLAs, Agent Lending Agreements, CUAs and ACAs required. Skills in drafting and presenting written and oral communications required. Strong practical experience with and knowledge of securities laws, UCC, ERISA, Investment Company Act of 1940, UCITS, and laws and regulations relating to insolvency, agency and risk based regulatory capital required. Strong leadership, workflow management and organizational skills; ability to handle a variety of projects simultaneously with minimal supervision, and the ability to prioritize to meet tight deadlines in the context of servicing a dynamic business unit required.
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