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GCC
General Counsel
Consulting
provided
exceptional
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Melinda Burrows
Deputy General Counsel
- Litigation and
Compliance, Progress
Energy Service Company
LLC
 

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Corporate Counsel Asset Management Attorney
Refer job# QHKN164460
 
Corporate Counsel - Asset Management Attorney Responsibilities: Advising senior management on regulatory initiatives. Assisting with regulatory and internal reviews, exams, and audits. Assisting with drafting and maintaining policies and procedures. Maintaining current knowledge of applicable federal and state laws and regulations, and monitoring regulatory developments to ensure organizational adaptation and compliance. Preparing, reviewing, and negotiating contracts and other legal documents or requirements with a focus on conforming to federal statutory requirements and company policies. Reviewing responses to requests for proposals and company marketing/client information materials for conformity with law and company policies. Assessing risks and providing advice concerning various issues and agreements arising within key operations of the companies and the corresponding administrative functions. Providing training to company employees on legal requirements for conducting USBAM RIAs business. Reviewing and coordinating activities of outside counsel within assigned areas of responsibility. Reviewing documents and electronic discovery in response to third-party subpoenas. Help team to properly prioritize our legal advisory responsibilities, and then be effective, efficient and practical in accomplishing them.

Qualifications: Law degree. Licensed by and in good standing with the appropriate state bar association or other appropriate state attorney licensing authority. Preferred Skills/Experience: 4+ years of in-house legal department or law firm experience advising financial institutions. Corporate governance experience preferred. Experience advising investment advisors or investment companies concerning securities law, municipal securities, and regulatory requirements. Strong analytical skills. The ability to work independently and manage a constantly changing workflow. Comfort with and interest in working on a variety of legal matters. Excellent written, oral, and interpersonal communication skills. Strong commitment to client service.
 
EMAIL TO COLLEAGUE  PERMALINK
 
 

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