Attorney Asset Management Distribution
Insurance
Legal – Attorney
Full-time
United States – Pennsylvania – Radnor
The Compensation
Benefits – Full
Relocation Assistance Available – Yes
Commission Compensation – No
Bonus Eligible – Yes
Overtime Eligible – No
Interview Travel Reimbursed – No
The newly created position will be the principal lawyer supporting our Funds Distributors, the distributor of Funds and the firm’s limited purpose broker-dealer entity. In this role, the lawyer will primarily provide counsel and support for the growing retail mutual fund distribution channels (which includes wire house firms, regional broker-dealers, RIAs, and other platforms, including defined contribution-investment only).
Responsibilities of the role:
- Involved with supporting the sale and distribution of the firm’s mutual fund products and advising on broker-dealer regulatory issues
- Drafting, reviewing, and negotiating selling agreements, service agreements, sub-transfer agency agreements, omnibus agreements and other agreements; and advising senior management regarding such arrangements
- Providing advice on regulatory matters relating to the broker-dealer activities of Funds Distributors under applicable SEC, FINRA, MSRB and CFTC regulations
- Involved with supporting the sale and distribution of the firm’s mutual fund products and advising on broker-dealer regulatory issues
Qualifications
Required experience for the role:
- JD and Pennsylvania bar membership
- 5+ years’ experience supporting an asset management firm
- Demonstrated ability to develop working relationships with clients and colleagues in a team environment
- Mutual fund or investment advisory work, including at least some experience with the Investment Company Act of 1940
- Strong oral and written communication skills and organizational skills
- Demonstrated ability to solve problems, build and improve processes
- Project management skills
- Proven ability to work independently and efficiently and as a team player in a fast-paced and fluid environment handling multiple tasks and projects concurrently, while maintaining highest standards and attention to detail.
5+ to 7 years of experience
Management Experience Required – No
Minimum Education – Juris Doctor
Willingness to Travel – Occasionally
Additional Information:
- Must have Broker-Dealer distribution(wholesale) experience “not” product sales(retail)
- Wholesalers/ Strategic accounts
- Extensive “selling agreements” and writing other agreements
- Channels- wires, regionals, independents, banks, RIA
- Revenue sharing
- Salary range: $150k++
Contact:
Deniz Iriajen
Principal Executive Recruiter | Sharf, Woodward & Associates
5900 Sepulveda Blvd., Suite 302 | Sherman Oaks, CA 91411
diriajen@swjobs.com| www.swjobs.com
Tel: 818.989.2200 ext. 235 | Toll Free: 877.482.6687 | Fax:818.787.0880