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SMBC Group · 1 day ago

Executive Director, Assistant General Counsel - Asset Management

New York, NY

Full-time

Hybrid

Director/Executive

$244K/yr - $285K/yr

15+ years exp

SMBC Group is a top-tier global financial group seeking a seasoned in-house attorney to provide comprehensive legal coverage and oversight for its affiliated U.S. investment adviser. This leadership position involves building a business from the ground up and implementing a robust legal and regulatory compliance framework.

AdviceBankingFinancial Services

H1B Sponsor Likely

Responsibilities

Provide legal, regulatory, and strategic advice on proposed business activities of a newly launched investment adviser, initially focusing on loan and credit assets, with the potential to expand to other asset classes

Advise on a broad range of issues under U.S. investment management laws and regulations. Support business objectives while managing legal, regulatory, and franchise risks. Assess and respond to regulatory changes impacting the investment management business. Collaborate closely with legal and compliance colleagues across SMBC Group

Draft, review, and negotiate transaction documents for the investment management business, including advisory agreements and fund documents

Manage outside counsel and apply legal risk management standards and practices consistently with SMBC Group’s Americas Division Legal Department requirements

Qualification

Juris Doctor degreeSEC compliance expertiseInvestment Advisers Act knowledge15 years legal experienceCommunication skillsOrganizational skillsCritical thinkingDetail-orientedCollaborative work

Required

Active membership in good standing with the New York State Bar, or eligible to waive in

Juris Doctor degree from an accredited U.S. law school

At least 15 years of experience inhouse and/or at a leading law firm advising SEC-registered investment advisers, with a focus on institutional asset management

Deep expertise in SEC compliance, fiduciary standards, Investment Advisers Act, and other asset management regulations

Ability to provide adaptive, proactive legal coverage for a nascent investment adviser

Self-motivated, independent, and able to multi-task and prioritize effectively in a fast-paced environment

Strong organizational and written/oral communication skills

Ability to identify and diagnose legal and business issues, and explain decision points clearly and succinctly

Excellent critical thinking skills

Ability to work collaboratively with clients and colleagues across a broad range of seniority and experience levels in a large, complex global organization

Detail-oriented and thoughtful

Preferred

Experience working at a bank-affiliated investment adviser

Benefits

Competitive portfolio of benefits

Company

SMBC Group

Glassdoor3.5

SMBC Group is a top-tier global financial group.

Founded in 1590

New York, New York, USA

10001+ employees

https://www.smbcgroup.com/americas

H1B Sponsorship

SMBC Group has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Represents job field similar to this job

Trends of Total Sponsorships

2025 (160)

2024 (87)

2023 (73)

2022 (44)

2021 (29)

2020 (26)