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Job Order:
004-021-711

Job Type:
Permanent

Title:
Attorney

Location:
Chicago

Description:
Summary/Responsibilities:
Legal department of Chicago-based Investment Manager seeks an experienced Attorney with in-house, law firm and/or regulatory experience to join their team, reporting to the General Counsel.
Identify/assess/address compliance with legal/regulatory requirements including U.S./foreign securities laws and general corporate/partnership obligations.
Draft/review internal documents: memoranda/correspondence/agreements/resolutions/minutes/policies/procedures related to all aspects of business with primary focus on client/vendor relationships.
Draft/prepare and/or assist in preparation/submission of required filings with the SEC, FINRA and other federal/state/foreign regulatory authorities.
Prepare responses to client/regulatory requests, gathering/analyzing data and information as needed.
Perform legal research, analyze/interpret legal precedent and make recommendations consistent with business objectives/legal requirements memorandum.
Interact with other employees and outside counsel as needed, in the dissemination/collection/analysis of information in response to external/internal requests for the Legal Department.
Update Legal/Compliance Departments on current legal/regulatory issues and developments.
Review contracts/agreements and provide comments/advice under supervision of General Counsel.
Assist in the review of mutual fund advertising/sales literature consistent with SEC/FINRA and other applicable requirements; provide assistance as needed in the filing process, including communications with FINRA (written correspondence/conversations with the assigned FINRA examiner).
Assist in the review of institutional marketing materials (monthly and quarterly strategy commentaries/white papers/other written communications/RFPs/RFIs.
Perform special projects/other duties as assigned.

Requirements:
Must be admitted to practice law and in good standing in the State of Illinois (or must have reciprocal Bar passage).
Working knowledge of federal and state corporate law and securities law requirements.
In-depth knowledge of legal research techniques (Lexis-Nexis/Westlaw) required.


Category:
Alternative Investments // Asset Management // Broker Dealer // Compliance and Legal

Contact:
nathan@bcius.com