Seeking a Private Wealth/Private Banking Counsel for the legal and compliance department within a leading asset manager with headquarters in New York City. Preferred experience: 8+ years in the asset management group at a law firm with significant private wealth clients, or
in-house at an asset management firm. J.D. required. Responsibilities include:
• Advise on the legal and regulatory framework for the Private Wealth business; liaise with wealth advisors, portfolio managers and operations on all aspects of the client relationship; and assist with legal issues around client accounts.
• Provide advice on wealth management and asset management regulatory matters, including the Investment Advisers Act, FINRA rules, Investment Company Act, Securities Act, and ERISA; serve as the lead attorney and work with colleagues to implement changes in order to comply with changing regulations.
• Develop new advisory initiatives, draft and update advisory agreements and fund offering documents.
• Review marketing materials to ensure that they comply with regulatory requirements and internal compliance policies.
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