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Energy Service Company

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In House Legal Job Listings

Corporate Counsel
Refer job# LEMA136691
Corporate Counsel The candidate will ensure that the company and its subsidiaries are provided with sound regulatory and legal advice in all aspects of its business, including regulatory compliance, corporate governance, litigation matters, risk mitigation, contract negotiation, M&A, intellectual property, employee relations, board matters, and strategic initiatives. Advise management upon matters regarding federal and state laws and regulations and the rules of conduct for the SEC and FINRA. Assist with any examinations performed by such regulators. Advise on all regulatory documents filed with federal and state regulators, including but not limited to Form ADV, Form BD, mutual fund prospectuses and statements of additional information, Delaware corporate filings, etc. Advise on written policies and procedures for the company s registered investment adviser, broker-dealer, and mutual fund company. Draft, review and negotiate all contracts with outside vendors and internal stakeholders. Monitor and administer any litigation matters, including reviewing and approving work product produced by outside counsel. Manage all outside counsel relationships. Manage the corporate insurance program, including the independent broker relationship, marketing the company program, reviewing policy coverage and exclusions, and ensuring timely renewals. Attend all Board of Directors meetings to report on legal matters, regulatory developments, and advise on matters as requested. Keep minutes of such meetings and act as the Corporate Secretary for governance purposes. Assist all departments in meeting their obligations required by state and federal law. Monitor legislative and rule changes from regulatory authorities and advise on what the company will need to do in order to comply. Attend meetings as requested by executive management, advise members as to the rights and responsibilities and respond to questions. Other duties will be assigned as requested. Bachelor s degree form an accredited college required. Juris Doctorate and active member of the state Bar required. Former regulator/legal experience a strong plus. FINRA Series 66 (or 63 and 65), 7, 24 preferred. 5+ years of similar or related professional experience including 3+ years of legal and regulatory compliance experience required. Extensive knowledge of the financial services industry and accompanying rules and regulations, particularly RIA, mutual fund and broker-dealer businesses models required. Demonstrated fluency with the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act and Securities Exchange Act, as well as SEC rules, guidance, and no-action letters required. Knowledge of SEC examination techniques/procedures required. Excellent communication skills and ability to communicate with all levels of personnel to ensure compliance with policies and regulations required. Proficiency in Microsoft office, including Word and PowerPoint required. Demonstrated analytical abilities and ability to apply knowledge of laws and regulations to business situations required.
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