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General Counsel
Consulting
provided
exceptional
service in helping
my organization
recruit for a hard
to fill position.
They did extensive
work on the front
end to understand
our needs and
our culture and
began referring
highly qualified
candidates almost
immediately.

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

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Counsel Jobs > Compliance Officer / Managing Counsel Job in Texas > Compliance Officer / Managing Counsel

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YOUR WINDOW TO A WORLD OF OPPORTUNITIES

Compliance Officer / Managing Counsel

Refer job# WBXN149026

Compliance Officer / Managing Counsel The candidate will be responsible for the legal matters of Advisory Services. This critical role focuses upon both all legal issues related to the Investment Advisers Act of 1940 ( Act ), and all legal issues affecting and impacting an investment advisor serving a defined market. Will report to the Chief Legal Officer with assigned duties to the Chief Investment Officer ( CIO ), Advisory Services. Accountabilities: Compliance: Development, design, and implementation of compliance policies and procedures, consistent with law (federal and state-specific) and the Act, in close collaboration with the business team. Identify, monitor, and communicate changes to federal, state, and local laws, and case law for impact to the business team and associated services. Provide solution recommendations when changes in laws or trends affect how the advisory business may be transacted. Investments: Substantial experience with investment advisory services, and the Act. Thorough legal understanding of investments, including fixed income instruments, U.S. government obligations, corporate debt, credit structures, residential mortgage related securities, asset-backed, commercial mortgage-backed securities, and equity instruments. Extensive legal understanding of debt/equity investment ratings, asset valuations, and regulatory requirements applicable to investment portfolios. Capacity and attention to detail in performing and managing due diligence processes. Ability to research, issue-spot, draft, review, and work with outside counsel on issues related to the Act. Transactional: Review, draft, and administer investment management agreements, and other related legal documents in connection with internal as well as external parties. Develop solutions in all phases of transactions, including initial assessments, diligence, negotiation, execution, and integration. Corporate: Corporate governance law including process, policies, and related rules, regulations, and requirements. Ensuring full, proper, and sufficient governance records. General: Stay current on all applicable federal and state laws and regulations by conducting ongoing research and identify and communicate changes as they occur; assess associated legal and business risks and identify risk mitigation options. Prepare and maintain relevant reports, memos, and other records. Identify and problem resolve issues that develop during the course of each acquisition event, transactions, corporate matters, and compliance issues. Communicate regularly with CIO. Qualifications: Admission to a state bar/J. D degree from accredited law school. Finance, economics, or related undergraduate degree, preferred. 5 years of relevant experience with a law firm or corporation. 7 years of legal experience. Proficient in Microsoft Office (incl. Excel, Word, and PowerPoint), Outlook, and Windows Explorer, Internet and web research, and Adobe Acrobat. Proven drafting, strong writing, and analytical skills.

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