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General Counsel
Consulting
provided
exceptional
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work on the front
end to understand
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candidates almost
immediately.

Melinda Burrows
Deputy General Counsel
- Litigation and
Compliance, Progress
Energy Service Company
LLC

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Counsel Jobs > Deputy General Counsel - Employment Job in New York > Deputy General Counsel - Employment

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Deputy General Counsel - Employment

Refer job# IWVE140799

Deputy General Counsel Employment The candidate will be an integral partner to the Private Client Group and will have significant interaction with the front office (sales office and product teams), as well as the firm s Compliance, Operations and other support groups. Provide advice on a wide range of day-to-day legal issues, including those related to Alternative Investments (private equity and hedge fund placement agent/distribution agreements). Participate in the integration of new businesses and products arising from acquisitions. Analyze, draft and negotiate a wide range of agreements, including client-facing documentation. Review customer forms, authorizations and agreements. Advise on new products and services. Advise on the requirements for resale of unregistered securities and affiliate transactions, including to sales under Rule 144 and the utilization of Rule 10b5-1 Plans. Supervise external counsel. The candidate should have J.D. with a strong academic background and in good standing with the applicable state Bar association. Must have Bachelors or better in Other. 4-6 years of experience is required. Regulatory and/or Financial Institution is preferred. Should have 7 years of relevant experience at a law firm or in-house legal department. Should have practical knowledge of and experience providing advice regarding laws, rules and regulations relating broker-dealers generally (FINRA/SEC), with a preference for experience related to Alternative Investments and the Investment Advisers Act of 1940. Must have damiliarity with Securities Act of 1933 and Securities Exchange Act of 1934. Should have working knowledge of the institutional business and how it interacts and collaborates with the wealth management business. Excellent communication (oral and written), research and strategic thinking skills are needed.

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