SVP, Associate General Counsel

Overview

The organization is seeking a Department Head of Legal Administration to lead the Legal Administration Department and deliver quality legal administration services to assigned clients. This role develops strong working relationships with other department heads and provides strategic and supervisory oversight for complex client service matters, regulatory filings, and board/committee materials.

Responsibilities

• Provide strategic leadership within the Legal Administration Department, consistent with organizational mission and values.
• Lead resolution of routine and complex client service issues and matters with potential liability to the organization; escalate to senior management as appropriate and resolve with input from senior management.
• Support sales, due diligence, and onboarding for the Business Development Department, including delivering presentations to prospective clients.
• Research and prepare memoranda and reports on general industry issues not related to specific clients.
• Supervise preparation of client registration statement updates (or prepare as appropriate).
• Supervise preparation of all other client SEC filings (or prepare as appropriate).
• Lead preparation and distribution of client board and committee materials (or prepare/distribute as appropriate).
• Attend board and committee meetings by telephone or in person if requested by a client; record notes, make presentations, and lead the meeting if requested.
• Supervise drafting of minutes for client board and committee meetings (or draft as appropriate).
• Instruct direct reports, as needed, on preparation of registration statement updates, board materials, and other client-related documents.
• Provide client updates on recent regulatory events; conduct regulatory research for clients that does not involve legal conclusions.
• Assist the Corporate Legal Department in drafting contract amendments as needed.
• Ensure completion of internal compliance-related documents for assigned clients (e.g., filing checklists) in an accurate and timely manner.

Special Projects

• Supervise preparation of, or prepare as appropriate, filings and documents for special regulatory add-on services, including building of new funds/trusts, proxy and information statements, and Form N-14.
• Serve on departmental, interdepartmental, and ICI committees, as requested.
• Coordinate special initiatives within the Legal Administration Department, such as updating policies and procedures.
• Participate in sales presentations with prospective clients and in onboarding of new clients.
• Provide effective legal support to Corporate Legal and Internal Compliance Departments as requested.

Personnel Management

• Manage associates within the department, including hiring, training, development, delegation of work assignments, performance appraisals, salary recommendations, coaching and counseling, and administering corrective actions.
• Conduct one-on-one and team meetings with associates regularly to discuss new procedures, problems, and issues.
• Establish team and individual goals for the department.
• Foster associate performance and the processes used by them; hold associates accountable for their work.
• Mentor associates through instruction, coaching, real-time on-the-job experiences, modeling effective practices, and advising on methods used.

Working Relationships

• Maintain regular contact with internal departments and external vendors/relationships as needed to meet the needs of assigned clients and clients assigned to direct reports.
• Ensure the Legal Administration relationship with each assigned client (and each client assigned to direct reports) remains strong and that client satisfaction remains high.
• Perform other duties as required and assigned.

Education and Experience

• 15+ years of experience as a 1940 Act attorney.
• Legal experience at a fund administrator or fund adviser.
• J.D. and membership in the bar of at least one state.
• 7–10 years of management and leadership experience.

Knowledge

• 1940 Act, with significant familiarity with the Investment Advisers Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934.
• Legal, business, distribution, marketing, and structural issues facing mutual funds.
• Microsoft Office Suite.
• Adobe Acrobat.

Skills and Abilities

• High proficiency in written communication, including the ability to explain complex legal principles in “plain English.”
• Excellent research and client service skills, with aptitude for understanding clients’ legal needs and how those needs relate to clients’ business needs.
• Ability to lead board and other meetings and present legal administration services to prospective clients.
• Ability to align associates with organizational values and goals.
• Strong planning, delegation, motivation, and performance assessment skills.
• Ability to plan and develop systems and procedures to improve departmental operating quality and efficiency in accordance with organizational policies.
• Strong troubleshooting skills using creative and critical thinking.
• Multitasking, analytical, and organizational skills.
• Initiative-taking, strategic, meticulous approach with a strong commitment to quality, efficiency, and effectiveness.
• Demonstrated integrity, responsibility, accountability, and good judgment.
• Effective use of time and information in conjunction with associates.
• Ability to present and communicate ideas clearly in written and oral form.
• Active listening skills and ability to support an open exchange of ideas and information.
• Ability to identify needs, arrange for, and obtain resources to achieve individual and departmental goals.
• Ability to establish effective working relationships with associates and clientele during favorable and unfavorable situations.
• Ability to modify priorities and deadlines in response to added information, changing conditions, or unexpected obstacles while ensuring completion.

Compensation & Benefits

• Compensation and benefits details are not specified in the provided job description.

Location

• Location details are not specified in the provided job description.

Equal Opportunity

The employer is an equal opportunity employer and does not discriminate on the basis of race, color, religion, national origin, ancestry, gender, sexual orientation, age, disability, veteran or military status, genetic information, citizenship or any other status protected under federal, state, or local anti-discrimination laws. No questions on the employment application are intended to secure information for impermissible purposes.