Aegon · 16 hours ago

Investment Funds/Asset Management – Senior Counsel

United States

Full-time

Remote

Senior Level

$144K/yr - $155K/yr

5+ years exp

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Responsibilities

Provide legal advice and support regarding the development and formation of collective investment funds, separate accounts and similar investment vehicles, including assistance with due diligence, preparation of materials to board of directors/trustee and its committees, and preparation or review of subscription, marketing and disclosure materials

Prepare, review and negotiate legal contacts, documents and agreements, such as advisory agreements, subscription/adoption agreements, intermediary/trading agreements, selling/distribution agreements, platform agreements

Provide legal support to Transamerica distribution businesses, including broker-dealer and investment adviser entities

Advise clients on regulatory compliance issues related to collective investment funds, separate accounts, and investment funds, including SEC, CFTC, and OCC regulations, as well as other relevant legal frameworks

Monitor, review and interpret relevant securities laws, rules and regulations and keep clients and colleagues informed of the potential impact on the Savings and Investments businesses

Conduct legal research and provide strategic advice on corporate and investment fund matters

Work on complex legal issues where analysis requires identification and evaluation of multiple factors

Participate in and lead departmental and cross-functional working groups in identified areas of legal expertise or development

Qualification

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From ABA accredited law schoolLicensed to practice lawInvestment company lawInvestment management lawCollective trust fund lawFINRA RulesSecurities ActExchange ActInvestment Advisers ActInvestment Company ActERISA knowledgeMS Office proficiencyProject management skills

Required

JD from an ABA accredited law school

Licensed or eligible to practice in a US jurisdiction

Five years of relevant legal experience required on investment company and investment management matters and/or collective trust fund matters, with knowledge of relevant laws (e.g., FINRA Rules, Securities Act, Exchange Act, Investment Advisers Act, Investment Company Act)

Ability to effectively communicate, both written and oral, with the intended audience

Ability to exercise sound judgment in a fast paced environment

Ability to exercise agility and adaptability in providing legal advice

Comfortable in a rapidly changing corporate environment

Proficient using MS Office

Good organizational and project management skills with an ability to work autonomously and manage multiple priorities

Action oriented, timely and organized with ability to prioritize workload with high degree of accuracy and attention to detail