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Ohio - Deputy General Counsel

Cleveland OH Deputy General Counsel
The candidate will report to the company's CEO. The responsibility of the General Counsel will be leading strategic and tactical legal initiatives. Will provide senior management with effective advice on company strategies and their implementation, manage the legal and compliance functions, and obtain and oversee the work of outside counsel. Will be directly involved in complex business transactions in negotiating critical contracts. Participate in the definition and development of corporate policies, procedures and programs and provide continuing counsel and guidance on legal matters and on legal implications of all matters. Advise senior management on the establishment and maintenance of an effective culture of compliance within the firm. Become involved in analyzing and resolving significant compliance issues that arise. Serve as key lawyer/legal advisor on all major business transactions, including acquisitions, divestitures and joint ventures. Judge the merits of major court cases filed against or on behalf of the company, work with the appropriate executive(s) to define a strategic defense and approve settlements of disputes where warranted. Assume ultimate responsibility for ensuring that Victory Capital Management conducts its business in compliance with applicable SEC, FINRA, et. al. laws and regulations. Structure and manage the company's internal legal function and staff. Select, retain, manage and evaluate all outside counsel. Advise on legal aspects of the company's financing including assessing and advising on current and future business structures and legal entities. Ensure that the steps in the firm's compliance process - risk identification, establishing policies and procedures and implementing those policies and procedures - are appropriate and are undertaken timely by staff of the firm to whom those functions have been assigned. Become personally involved in various steps of the compliance process such as serving on risk or policies and procedures committees when necessary and appropriate. Ensure that compliance policies and procedures are comprehensive, robust, and current and reflect the firm's business processes and conflicts of interest. Review Marketing materials (including pitch books, PPMs and LPAs) and investor communications for compliance with the Advisors Act. Manage process for the review and authorization of the public stock trading activities of employees. Ensure there is timely and appropriate review of material and repetitive compliance issues as indicators of possible gaps and weaknesses in policies and procedures or risk identification processes and facilitates the use of such information in keeping the firm's compliance program. Establish a compliance calendar that identifies all important dates by which regulatory, client reporting, tax and compliance matters must be completed to ensure that these important deadlines are not missed. Promote a process for regularly mapping a firm's compliance policies and procedures and conflicts of interest to disclosures made to clients so that disclosures are current, complete and informative.

The candidate should have J.D. degree with admitted to practice. Must have 6+ years of experience in an asset management environment. Should preferably have 10 years of experience as a practicing lawyer, preferably initially with a prominent national law firm before moving to an in-house position. Should preferably also have 10 years of investment advisory compliance as well as compliance experience of a registered investment advisor and registered broker dealer. Exposure to and/or familiarity with the following areas of law: securities, antitrust, employment law, computer law, contractual law (vendors) and privacy is required. Experience dealing with the SEC, FINRA and other regulatory bodies is desired. Experience working on matters of corporate governance and with a board of directors is required. Experience working with a mutual fund's board and counsel is preferred. Experience managing other attorneys and supervising support staff in a corporation is required as well as experience with cost effective management of outside legal resources needed. Should have familiarity with ERISA laws and regulations. Must have knowledge of the Investment Company Act of 1940.

Application Deadline: April 30, 2013.
Legal 6 - 8 Full-time 2013-03-06
 
Ohio - Deputy General Counsel
Refer job# B4HB25782
 
Deputy General Counsel
The candidate will report to the company's CEO. The responsibility of the General Counsel will be leading strategic and tactical legal initiatives. Will provide senior management with effective advice on company strategies and their implementation, manage the legal and compliance functions, and obtain and oversee the work of outside counsel. Will be directly involved in complex business transactions in negotiating critical contracts. Participate in the definition and development of corporate policies, procedures and programs and provide continuing counsel and guidance on legal matters and on legal implications of all matters. Advise senior management on the establishment and maintenance of an effective culture of compliance within the firm. Become involved in analyzing and resolving significant compliance issues that arise. Serve as key lawyer/legal advisor on all major business transactions, including acquisitions, divestitures and joint ventures. Judge the merits of major court cases filed against or on behalf of the company, work with the appropriate executive(s) to define a strategic defense and approve settlements of disputes where warranted. Assume ultimate responsibility for ensuring that Victory Capital Management conducts its business in compliance with applicable SEC, FINRA, et. al. laws and regulations. Structure and manage the company's internal legal function and staff. Select, retain, manage and evaluate all outside counsel. Advise on legal aspects of the company's financing including assessing and advising on current and future business structures and legal entities. Ensure that the steps in the firm's compliance process - risk identification, establishing policies and procedures and implementing those policies and procedures - are appropriate and are undertaken timely by staff of the firm to whom those functions have been assigned. Become personally involved in various steps of the compliance process such as serving on risk or policies and procedures committees when necessary and appropriate. Ensure that compliance policies and procedures are comprehensive, robust, and current and reflect the firm's business processes and conflicts of interest. Review Marketing materials (including pitch books, PPMs and LPAs) and investor communications for compliance with the Advisors Act. Manage process for the review and authorization of the public stock trading activities of employees. Ensure there is timely and appropriate review of material and repetitive compliance issues as indicators of possible gaps and weaknesses in policies and procedures or risk identification processes and facilitates the use of such information in keeping the firm's compliance program. Establish a compliance calendar that identifies all important dates by which regulatory, client reporting, tax and compliance matters must be completed to ensure that these important deadlines are not missed. Promote a process for regularly mapping a firm's compliance policies and procedures and conflicts of interest to disclosures made to clients so that disclosures are current, complete and informative.

The candidate should have J.D. degree with admitted to practice. Must have 6+ years of experience in an asset management environment. Should preferably have 10 years of experience as a practicing lawyer, preferably initially with a prominent national law firm before moving to an in-house position. Should preferably also have 10 years of investment advisory compliance as well as compliance experience of a registered investment advisor and registered broker dealer. Exposure to and/or familiarity with the following areas of law: securities, antitrust, employment law, computer law, contractual law (vendors) and privacy is required. Experience dealing with the SEC, FINRA and other regulatory bodies is desired. Experience working on matters of corporate governance and with a board of directors is required. Experience working with a mutual fund's board and counsel is preferred. Experience managing other attorneys and supervising support staff in a corporation is required as well as experience with cost effective management of outside legal resources needed. Should have familiarity with ERISA laws and regulations. Must have knowledge of the Investment Company Act of 1940.

Application Deadline: April 30, 2013.
 
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