Contracts Attorney The candidate will Review proposed contractual agreements with product sponsors. Will negotiate with the product sponsors on behalf of the company to minimize risk to the company. Provide overall direction, leadership, and expertise in the development, coordination, and management of existing contracts. Interface with internal and external customers as well as product sponsors. Any related responsibilities that may arise organically as a result of the contractual process. Meet with internal stakeholders and team to determine objectives, deliverables, and time frames and to understand any connected dependencies. Draft and transmit necessary agreements or prepare redlined versions of product sponsor agreements, engage in negotiations with the product sponsor and/or its counsel. Work with department members to analyze immediate agreement issues that would lead to the execution of a contract in a timely manner, as to not interrupt business flows. Work with various members of the department and broker-dealer firms to provide guidance and support for contract requests. Prepare and maintain file folders and update internal matter tracking system. Prepare and send correspondence and maintain up to date correspondence files. Contracts knowledge. Exercises discretion and independent judgment in evaluating potential approaches and solutions to significant problems and determining appropriate resolutions. Contributes as an essential team member on teams inside or outside own organization, project, activity or function. Respond to audit requests timely preparation of document requests and additional requests as needed. Respond to regulatory inquiries timely preparation of requested materials.
The candidate should have Bachelor's degree. Should have JD degree from an ABA-accredited school with 2+ years related experience. Must pass the Series 7 licensing exam within 1 year of hire date. Must have knowledge of management, review, and negotiation of selling agreement specific to the distribution of securities between issuer and broker-dealer and or registered investment advisor. Should be proficient in the Microsoft Office Suite including Word, Excel, Access, and Outlook. Knowledge of Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933, Securities Act of 1934 is preferred. Experience in negotiating contract terms is essential. Must have financial Services experience. Must have extensive work experience in a medium to large project based company. Must have 1+ years of experience in Contract Management.
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