3 дня назад
Senior Counsel--Investment Advisor (Fintech)
100 000 - 291 850$
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Senior Counsel--Investment Advisor (Fintech): Advising registered investment advisers, private credit funds, and related investment businesses with an accent on Investment Advisers Act and Investment Company Act compliance, fund structuring, governance, disclosures, and regulatory matters. Focus on drafting advisory agreements and regulatory filings, supporting SEC examinations, managing complex legal risks, and collaborating with business, compliance, risk, and regulatory teams.
Location: In-office in Pittsburgh or Philadelphia, Pennsylvania; Birmingham, Alabama; Cleveland, Ohio; or Washington, DC
Base salary: $100,000–$291,850 annually, plus incentive eligibility.
Company
is a banking and financial services corporation with affiliated registered investment advisory and asset management businesses.
What you will do
- Advise registered investment advisers, private credit funds, private funds, separately managed accounts, and other investment vehicles.
- Provide guidance on the Investment Advisers Act of 1940 and Investment Company Act of 1940, including governance, fiduciary duties, disclosures, conflicts, exemptions, and compliance.
- Support the structuring, launch, operation, and ongoing management of private investment funds and advisory businesses.
- Draft and review advisory and sub-advisory agreements, engagement letters, offering materials, policies, procedures, Form ADV filings, and related disclosures.
- Represent in interactions with regulators, external counsel, counterparties, investors, and other stakeholders.
- Partner with business leadership, compliance, risk management, and regulatory affairs teams on strategic initiatives and legal matters.
Requirements
- Juris Doctor degree from an accredited law school.
- Admission in good standing to practice law in at least one U.S. jurisdiction.
- Three to eight years of relevant legal experience; the role description also indicates that positions at this level typically require 8+ years of industry-relevant experience.
- Experience with registered investment advisers, private funds, asset managers, financial institutions, or investment management businesses.
- Strong drafting, legal analysis, client counseling, decision-making, communication, negotiation, and problem-solving skills.
- does not provide employment visa sponsorship or participate in STEM OPT for this position.
Nice to have
- Experience applying the Investment Advisers Act to registered investment advisers, private funds, and sub-advisory arrangements.
- Familiarity with SEC regulatory processes, examinations, and compliance programs.
- Knowledge of broker-dealer regulation, FINRA requirements, banking regulation, or institutional asset management businesses.
Culture & Benefits
- In-office work environment with a supportive and inclusive workplace culture.
- Medical, prescription drug, dental, vision, life insurance, and disability coverage options.
- 401(k) matching, pension, stock purchase plans, and dependent care support.
- Educational assistance, wellness programs, paid holidays, parental leave, occasional absence days, and 15–25 vacation days depending on career level and service.
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