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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 > Legal & Compliance Counsel, Asset Management Job in New York > Legal & Compliance Counsel, Asset Management

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Legal & Compliance Counsel, Asset Management

Refer job# IXFV161167

Legal & Compliance Counsel, Asset Management Duties: Oversee legal matters for our asset management entity, including advising on and negotiating corporate transactional matters, supervising outside counsel and overseeing the structuring of our asset management program. Manage entity maintenance and corporate governance for the firm's Asset Management Division (AMD). Working with colleagues outside the US to address cross-border legal and regulatory issues arising from the global nature of our business. Cover AMD personnel and provide advice on how to conduct the firm's business in a manner that complies with the vast array of applicable rules, regulations and regulatory expectations. Develop, draft and maintain compliance policies and procedures outlining firm requirements, regulations and best practices. Create and implement compliance training programs. Review and advise on product marketing materials. Perform look-back reviews, oversight and surveillances to assess compliance risks and breaches. Assist with regulatory examinations, audits and inquiries. Analyze new or amended laws, rules and regulations in order to formulate practical solutions to industry-wide issues. Coordinate with the business, Legal, Technology and other divisions across the firm on new initiatives. Qualifications: JD Degree from an accredited institution. 8 + years of experience at a law firm and/or as in-house counsel handling asset management, commodity funds, ETFs. Licensed to practice law and a member in good standing in the state of New York. Preferably experience mix of large org / tech but also regulated / controls background. Expertise in defining and stating expectations and objectives with team members and completing all related follow up and improvement measures. Excellent organizational and multitasking skills and ability to balance and prioritize multiple projects and initiatives. Exceptional written and verbal communication skills, with the ability to influence and communicate cross-functionally with all levels of leadership across the organization. Experience with a global organization, having built strong partnerships with stakeholders across diverse cultures and backgrounds. Excellent EQ that understands how to bring strong perspectives together for a common outcome in a positive way. Exceptional discretion, trustworthiness, reliability, and diplomacy that builds strong thriving relationships. Altruistic, selfless and able to set aside personal interest/ego for objectivity. Highest level of integrity and management of confidential information.

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