Investment Management Attorney
New York, New York
A leader in global investment management, our client has been providing successful investment solutions for nearly seventy years. With 50+ global offices, the firm prides itself on its exceptional service ability to achieve quality results. This organization dedicates itself to their mission of placing clients first, relationship building, and working with integrity.
FEATURES AND BENEFITS:
Our client is devoted to supporting its employees. Perks include a stock investment plan at a discount, a prime downtown location and uniquely challenging projects. Our client encourages professional growth and will work closely with you to achieve your personal performance objectives.
This company is known for the longevity of their employees, so rest assured that you will have a long-term fit.
THE ROLE YOU WILL PLAY:
- Opportunity to focus on investment management matters for two lines of business: trust company and institutional.
- Provide quality counsel to high net-worth individuals, foundations, and institutional clients of the fiduciary trust company globally.
- Advise on a number of the company’ s sponsored mutual funds (under Investment Company Act of 1940), including preparation of registration statements, prospectus and SAI disclosure and documentation for board consideration.
- Prepare, review, and negotiate investment managements and custody agreements and provide guidance on regulatory matters.
- Serve as a legal resource for internal clients and internal compliance professionals on issues concerning the securities laws, and relevant SEC and other regulatory guidance, relating to the primary lines of business.
- Providing direction related to the regulatory aspects of operating a New York state chartered trust company.
- JD and New York State bar (or certification as registered in-house counsel).
- 2-10 years' experience in:
- Investment management practice and/or financial institution regulatory practice of a law firm
- In-house with an investment management complex or financial institution;
- Equivalent government regulatory experience.
- Working knowledge of laws and regulations under the Investment Advisers Act of 1940, Investment Company Act of 1940 and New York State specific trust company regulations.
- Proven experience and understanding of related regulatory oversight, including the SEC and New York State Department of Financial Services.
- Ability to translate complex legal issues into practical and effective advice across business units.
ABOUT ABA SEARCH:
At ABA Search, we value professionalism, honesty, and hard work. We’ re positive, innovative thinkers, and we use creativity to turn challenges into opportunities. We love to learn, and we continuously seek new ways to deepen our expertise. We’ re energized by the legal industry, passionate about staffing, and committed to the success of our clients and candidates. That' s what makes us “ the name to know in recruitment.”