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Securities Attorney, Asset Management Company, Greater Seattle Area, WA

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Harris Legal Search has been exclusively retained by a well-known asset management company to find an experienced securities attorney. 

This hire will join the legal team and, as part of the Securities, Trading and Regulatory group, provide legal support to a complex portfolio of global assets.  Primary responsibilities will include: (1) advising the investment team on the legal and compliance issues affecting large equity investments and other transactions; (2) monitoring the portfolio for securities law and regulatory compliance issues; and (3) identifying legal and regulatory developments relevant to a growing portfolio of investments across multiple asset classes and jurisdictions.

TEAM

The Legal and Regulatory team prioritizes collaboration, creativity, innovation, and the ability to scale its activities to achieve efficiency and effectiveness.  In addition to providing superb legal advice, the legal team focuses on building deep relationships with other internal teams to add value to company’s investment process.  This is a great opportunity for you if you are a hands-on professional looking to make an immediate impact.

KEY RESPONSIBILITIES

  • Closely partner with trading and investment teams to provide strategic, holistic, and portfolio-informed advice with respect to public and private investments in multiple industries and jurisdictions worldwide, including minority and controlling interests in operating companies and funds.
  • Develop an in-depth understanding of the portfolio and operations to deliver cross-functional solutions across a range of complex global rules and regulations.
  • Analyze and prepare U.S. filings, including Schedules 13D/G, Form 13F, Form 13H, Forms 3, 4, and 5, Form 144, and Hart-Scott-Rodino Premerger Notification and Report Form, as well as comparable foreign filings.
  • Become the house expert in any substantive regulation that affects a key portfolio company (e.g., learning Surface Transportation Board issues if the company takes a large stake in a railroad).
  • Analyze and address MNPI concerns and administer employee trading policy.
  • Analyze and address public company governance matters, including D&O questionnaires and related disclosures.
  • Proactively identify key regulatory changes and developments that could impact the company’s activities/portfolio and develop strategies to mitigate legal and regulatory risk.
  • Work collaboratively with other members of the legal team to foster team strength and resilience.
  • Collaborate internally with the investment, performance, operations, tax, and accounting teams and externally with outside counsel and other partners to develop innovative and thoughtful solutions to challenges arising in managing a global portfolio.
  • Review, draft, and negotiate commercial agreements.
  • Work with outside counsel, investment professionals, and the investment services team to address other legal, regulatory, and business issues.
  • Lead or participate in cross-functional internal projects.

PROFESSIONAL QUALIFICATIONS

The ideal individual will thrive in this collaborative environment, where organizational success, innovation, pursuit of excellence, learning, and personal and professional growth are prized above traditional career progression through title advancement.  The company is looking for relevant substantive knowledge and excellent technical skills, as well as personal attributes that match this highly collaborative and humble culture.

  • J.D. degree, with at least 6 years of relevant experience required.
  • Outstanding law firm credentials.
  • In-house experience, with investment adviser or public company.
  • Substantive knowledge of, and expertise with, laws and regulations applicable to securities and other investment products, including the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Advisers Act of 1940.
  • Demonstrated ability to learn new areas of law, as well as the willingness to develop a practice in diverse topics ranging from antitrust to sanctions programs.
  • Experience analyzing issues with a holistic perspective and a commercial approach.
  • Ability to foster and maintain valued and respected relationships both internally and externally at all levels, and to cultivate a positive and productive team dynamic.
  • Exemplary written and oral communication skills, with the ability to succinctly translate legal principles into practical and actionable business.

PERSONAL ATTRIBUTES

  • Intellectual curiosity, with growth mindset and eagerness to stretch outside your comfort zone, learn new areas of expertise, and broaden your skillset.
  • Problem solver who takes initiative in looking over the horizon in anticipation of opportunities, new developments, and challenges.
  • Highly collaborative, with flexibility to take on stretch assignments and humility to thoughtfully execute less glamorous assignments.
  • Gifted at navigating ambiguity.
  • Highest levels of professionalism and integrity.

Position Inquiries

Please provide your information and upload your CV. Please note the types of positions you are interested in being considered for.

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Please be assured that your identity and materials are strictly confidential. Harris Legal Search will not share your information with third parties without your express permission.

Due to the high number of candidate submissions that we receive, we regret that we cannot respond personally to everyone who contacts us. However, we will definitely keep your information on file. If our corporate or law firm clients have an appropriate opportunity for your background, we will be in touch.