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

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Counsel Jobs > Associate Counsel, Asset Management And Corporate Affairs Job in Pennsylvania > Associate Counsel, Asset Management And Corporate Affairs

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Associate Counsel, Asset Management And Corporate Affairs

Refer job# GJJT146723

Associate Counsel, Asset Management and Corporate Affairs The candidate will report to firm's Deputy General Counsel, Asset Management and Corporate Affairs and be primarily responsible for providing legal support in the areas of wealth management, investment advisory compliance, and general corporate matters. Work closely with senior business leaders, marketing, operations, sales support, supervision, regulators, and internal and external auditors. Assist with the firms corporate governance matters, the legal review of contracts, and serve as a subject matter expert for legal advice on a wide variety of topics applicable to the firms business. Provide legal advice and support with respect to annual and other compliance reviews, establishing and implementing investment advisory compliance and surveillance processes. Provide advice and assist the Investment Advisory Chief Compliance Officer (IACCO) with enhancing and maintaining investment advisory compliance policies and procedures. Research new rules and regulations. Develop and maintain an ongoing compliance education program and provide training to firm personnel. Draft disclosures related to the firms business activities, including disclosures required by Form ADV. Assist with SEC examinations, as well as other examinations by other regulators. Support the Deputy General Counsel in handling corporate governance matters. Provide advice with respect to regulatory issues and filings, including under state and federal law and other potential federal regulation. Handle other general corporate work, including contract review and negotiation. Participate in key industry trade associations (SIFMA), committees and roundtables. J.D. Degree from an accredited law school required. 5 years of Investment Advisory Legal/Compliance experience is essential. 5 years of Corporate Attorney experience preferred. Previous experience with a law firm and/or corporate legal department is highly preferred. Prior experience working for mid to large size financial institution is preferred. Excellent oral and written communication skills are needed.

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