VP, Investment Advisory Attorney – Investment Bank recruitment
Primary responsibilities will include providing legal support to senior management with regard to issues across the business.
This position will review all activities of the advisory platform to have compliance with applicable laws and regulations, draft agreements with affiliated and unaffiliated parties and review products and marketing plans.
The position will focus on several of the firm’s offerings governed by the Investment Advisers Act of 1940, and particularly with the firm as advisor and manager.
As appropriate, this position may also be called upon to advise the firm with respect to issues arising under the securities laws and SRO rules and regulations associated with a variety of financial products and services offered by the firm.
Main Duties
• Assist on all advisory products and services.
• Oversee and maintain the legal agreements for the firm’s programs – client agreements and investment management agreements.
• Contribute to ADV and other relevant regulatory requirements.
• Partner with Compliance and other counsel in filing and updating the ADV for these businesses.
• Participate and assist with product development by facilitating legal analysis and documentation for the products and services, and compliance with the Investment Advisers Act.
• Manage the day to day issues arising from operating these programs.
• Have knowledge of delivering these services to ERISA covered accounts.
• Manage and respond to all inquiries from the branch offices and handle the negotiation and drafting of all agreements governing the business.
• Assist in drafting all required disclosures and disclaimers for marketing materials, client-facing documentation, account statements, etc.
• In partnership with Compliance, assist in crafting the policies and procedures relevant to the firm’s business.
Please email resumes to Sara Wentworth info@ComplianceSearch.com