Attorney Asset Management Distribution (Philadelphia)

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