Associate General Counsel

Profile

Associate General Counsel
Responsibilities: Provide support to investment management operations including its investment advisory programs. Lead the preparation, review and/or coordination of Forms ADV (including regulatory filings and brochure disclosure documents relating to investment advisory programs) and investment advisory communications and lead the coordination and review of the foregoing by internal **MEMBERS ONLY**SIGN UP NOW***. Divisions and external legal counsel. Participate in the senior leadership of and lead the planning and resource allocation with respect to the development and launch of a re-designed and enhanced platform for investment advisory programs. Lead the review, consideration and recommendation of improvements and enhancements to the documents, and the processes employed to produce them, relating to investment advisory programs to achieve greater clarity and to mitigate risk. Lead the review and consideration of the implications of legal developments under the Investment Advisers Act of 1940 and perform regular review of regulatory releases and proposals while leading the preparation of summaries of material releases and proposals, as needed. Participate in the leadership and planning of responses to regulatory initiatives and inquiries, including “sweep” and routine regulatory examinations of the **MEMBERS ONLY**SIGN UP NOW***. investment advisory programs. Lead the coordination, review, negotiation and/or preparation of contracts relating to the investment advisory program operations. Assist in the preparation, review and/or coordination of requests for exemptive orders and no-action relief with respect to investment advisory program operations. Participate in strategic, senior leadership committees and steering groups relating to strategic relationships with outside third parties, including fund companies and service providers, the management of proprietary investment funds and investment advisory program businesses and risk governance.

Company info

Sign Up Now - EmploymentCrossing.com