Assistant General Counsel

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POST DATE 8/26/2016
END DATE 12/19/2016

The Compliance Search Group New York, NY

New York, NY
AJE Ref #
Job Classification
Full Time
Job Type
Company Ref #



Our client, a well respected, long established money management firm seeks an Assistant General Counsel to join their team.


* Responsible for financial services and corporate, including the preparation and/or review of registration statements, supplements, XBRL filings, proxy statements, applications, and Schedule 13F, G and H filings.
* Liaise with Securities and Exchange Commission regarding filings and regulatory issues.
* Prepare agenda and materials for meetings of the company's Funds Boards of Trustees on a variety of issues; review agenda with independent chair and outside counsel prior to meetings.
* Maintain registration of various corporations and business trusts, including updating declarations of trust and by-laws, and preparation of Form ADV.
* Update standard selling agreements for fund distributor, including Rule 22c-2 provisions; negotiate selling agreements.
* Update separate account investment advisory agreements for investment adviser, and negotiate advisory agreements and wrap contracts.
* Responsible for legal matters related to company SICAV, a Luxembourg UCITS, including drafting of Key Investor Information Documents.
* Responsible for legal matters related to hedge fund.

* Help develop, draft and execute policies and procedures that are designed to detect and prevent violations of the federal securities laws and mitigate various types of risk, including compliance and operational risk
* Review and analyze various reports and business practices against the policies and procedures designed above
* Provide guidance to the business as necessary on compliance, client guideline interpretation and regulatory issues
* Manage the identification, communication and tracking of regulatory changes and analyze the impact of such changes for the company
* Identifies potential areas of compliance vulnerability and risk and aids in development and implementation of corrective action plans for resolution of such vulnerabilities
* Continuously review current policies, procedures and surveillance activities to seek to modify and improve the compliance program
* Administer and provide reporting on the Code of Ethics and personal trade pre-clearance
* Review and file marketing materials
* Work on regulatory related inquiries and examinations
* Assists with the development and implementation of relevant employee training

* Will have thorough knowledge of the firm's products, trading strategies and market characteristics


* Undergraduate degree or an equivalent combination of training and experience. Graduate degrees preferred
* JD Required
* Law Degree Required
* Grade Point Average (GPA) of 3.0 or above in a 4.0 scale
* A minimum of five years of compliance, risk management, or auditing experience from which knowledge in internal control and risk management was obtained.
* Asset management industry experience, including mutual fund business preferred.
* FINRA Series 7 required 24 and 63 required
* Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940 and FINRA Rules and Regulations
* Knowledge of SEC and FINRA regulations required


* Experienced with coding and operating compliance systems employed in monitoring investment guidelines and restrictions (e.g., Charles River)
* Sense of urgency to manage work within tight timeframes
* Proficiency in Microsoft Office products, in particular Excel
* Ability to manage multiple tasks simultaneously
* Ability to work as a contributing member of a team
* Prefer working in team environment
* Excellent communication skills, both written and oral
* Fine attention to detail