We represent a private investment manager looking to hire an Assistant General Counsel to support their Private Wealth business.
The ideal candidate will have 5+ years of experience in private wealth legal and compliance issues.
Responsibilities:
-Provide strategic advice on legal and regulatory issues affecting the Private Wealth business including advising on the legal and regulatory framework for the Private Wealth business; liaising with wealth advisors, portfolio managers and operations on all aspects of the client relationship; and assisting with legal issues around client account opening and maintenance.
-Provide advice regarding regulatory matters appropriate for a wealth management and asset management business, including the Investment Advisers Act, FINRA rules, Investment Company Act, Securities Act, and ERISA· Partner with business, operational and risk teams through all stages of the development of new advisory initiatives, including drafting and updating advisory agreements, drafting fund offering documents relating to private funds offered through the Private Wealth channel, and advising on and testing technology initiatives.
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