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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 > Counsel, Investments & Compliance (etfs) Job in Texas > Counsel, Investments & Compliance (etfs)

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Counsel, Investments & Compliance (etfs)

Refer job# IOZU151477

Counsel, Investments & Compliance The candidate will support the firm's portfolio management and trading groups, which includes analyzing U.S. and international law and requirements under client or counterparty contracts, reviewing brokerage arrangements, drafting trading and derivatives agreements, and assisting risk management and other groups that have responsibility for oversight of the portfolio management and trading functions. Will support the offering of proprietary ETFs, including support for the firm's capital markets function, review of ETF-specific compliance policies and procedures, and coordination with the legal team members that are responsible for fund board meetings and fund registration statement filings. Review and analyze policies and procedures in the fund companies 38a-1 compliance program and the adviser's 206(4)-7 compliance program. Assist compliance, portfolio management, trading and other departments in the interpretation and application of the firm's compliance policies and procedures. Prepare and, when requested, present materials such as memoranda, agendas, and meeting minutes for internal meetings, committee meetings, or the meetings of the Board of Directors of the firm, its subsidiary companies and/or its fund complexes. Work with and oversee the work provided by outside counsel on a variety of legal matters ensuring that standards for service delivery and cost are met. The candidate should have 4-8 years of practice (investments, financial services, securities regulatory work, investment adviser and/or mutual fund issues) in a top-tier law firm or in-house mutual fund, investment adviser, or financial intermediary. Must have knowledge of the structure and operations of ETFs; portfolio management and trading processes; trading and derivatives agreements; and federal securities law, including the Investment Company Act of 1940 and Investment Advisers Act of 1940. Must have JD degree from a top law school. Must be Member of a US State Bar. Must have very strong communication skills (verbal and written). Must be proficient in Microsoft Office (Word, Excel, Outlook).

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