Attorney Asset Management Distribution
Legal – Attorney
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


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++


Deniz Iriajen

Principal Executive Recruiter | Sharf, Woodward & Associates

5900 Sepulveda Blvd., Suite 302 | Sherman Oaks, CA 91411|

Tel: 818.989.2200 ext. 235 | Toll Free: 877.482.6687 | Fax:818.787.0880