Position Description: Known for its strong, ethical business practices and client focus, this Company fosters a collaborative, team-oriented environment that rewards and recognizes individual achievement. As a member of the Company’s Securities Regulation broker-dealer team, the selected candidate will work with a group of eight talented professionals who share a commitment to excellence, and represent the Company and its subsidiaries on a variety of broker-dealer matters.
As Associate Counsel the selected candidate will have primary or support responsibilities for a wide range of retail brokerage and fund distribution activities, including:
- Drafting and negotiating mutual fund supermarket service agreements.
- Advising on the distribution and marketing of investment products and services, including mutual funds, annuities and 529 Plan securities.
- Working with the Compliance Department and business units to interpret and implement FINRA, MSRB and SEC rules relating to broker-dealer activities, including licensing, sales practices, advertising, net capital, and customer protection and margin requirements.
- Advising the brokerage operations unit on clearance and settlement matters.
- Drafting, reviewing and negotiating required documents for the resale of restricted securities, certain corporate actions and other special transactions.
- Advising on fixed income and equity trading issues.
- Advocating on behalf of the Company with regulatory authorities.
- Educating officers and other employees as needed on legal issues.
Position Requirements:
Law degree (J.D. or equivalent) and 2-5 years of securities law experience, with an emphasis on broker-dealer regulatory matters at a mid- to large-sized law firm
Exceptional leadership, organization and interpersonal skills
Demonstrated ability to influence
Ability to work quickly and independently with attention to detail and sensitivity to deadlines
Demonstrated client relationship and communication skills
The Employer offers a competitive total rewards package of cash compensation, benefits, work-life programs, and conveniences. Employment is contingent on a successful drug-screening result, and they maintain a smoke-free work environment. Company is an equal opportunity employer committed to diversity in the workplace.
Company Description:
This Company offers individual and institutional investors a line of popular mutual funds and brokerage services. Claiming more than $1 trillion of assets under management, the firm is battling for the title of largest retail mutual fund manager on the planet. Their fund options include more than 180 stock, bond, mixed, and international offerings, as well as variable annuity portfolios.
The company is known as much for its puritanical thriftiness and conservative investing as for its line of index funds, which track the performance of such groups of stock as the S&P 500. The Company’s legal department is comprised of about 80-90 attorneys.
Lateral Link is different from our competitors. We are committed to providing unique Member Benefits that offer real value:
Professional Assistance
Our Members work with accomplished legal search professionals who share a commitment to high-quality, efficient service. As former practicing attorneys ourselves, our team offers unique insight into decisions about your career.
Job Alert System
Our Members access our online jobs database and personalized job alert system to identify thousands of in-house and law firm jobs, from New York to Tokyo, updated in real time.
Our Members receive professional career consulting sessions to investigate their professional options and to help them navigate successful transitions, whether within or outside of the practice of law.
Our Members receive a graduated referral fee for each attorney referred and placed through Lateral Link: $500 for the first referral, $1,000 for the second referral, and @2,000 for the third referral.
Our Members have free access to our Online Career Center, co-hosted with Above The Law. The Career Center provides inside information on the top law firms as reported by attorneys inside the firms.
If you have any suggestions or questions about our Member Benefits, please contact Michael Allen directly. We welcome ways to improve our service to our Members.
GUARANTEED BONUS
Placement Bonus
Lateral Link typically provides a placement bonus to Members who are placed in full-time law firm positions. In most instances, the bonus amount will equal:
(a) $10,000 for positions with a base salary greater than $160,000; or
(b) $5,000 for positions with a base salary of $160,000 or less.
Although we assist all Members with a career transition, Lateral Link does not provide a placement bonus for boutique law firm, in-house counsel, government or non-profit placements. Additionally, we are unable to offer a signing bonus for some law firm positions in certain instances, given the arrangement with the employer; we appreciate your understanding in advance. Please confirm with your search consultant as to whether a specific position qualifies for a placement bonus.
A placement bonus is paid after Lateral Link fully earns its fee from the law firm, which is subject to Lateral Link’s agreement with each employer. Payment of the bonus is at the sole and absolute discretion of Lateral Link. For more information concerning Lateral Link’s Placement Bonus, please email candidatehelp@laterallink.com.
Lateral Link offers a graduated referral fee for each attorney referred to us who is not
already part of the Lateral Link network and who subsequently obtains a position through
Lateral Link. Lateral Link pays Members $500 for the first successful referral, $1,000 for
the second successful referral, $1,500 for the third, and so forth. For more information
concerning Lateral Link's Referral Fee program, please email
candidatehelp@laterallink.com.
