Harris Legal Search has been exclusively retained by a well-known Asset Management Company to recruit an experienced securities attorney.
This hire will join the legal team as part of the Securities, Trading and Regulatory group. Your primary responsibilities will include working with the investment team on legal and compliance issues affecting large equity investments and other transactions, monitoring the portfolio for securities law and regulatory compliance issues, and identifying legal and regulatory developments relevant to a portfolio of investments across multiple asset classes and jurisdictions.
ORGANIZATION SUMMARY
The Company is proud to protect and grow capital in service of a multi-billion-dollar global philanthropic trust committed to creating a world where every person has the opportunity to live a healthy, productive life.
Located in the Seattle area, the Company applies its fundamental, long-horizon investment approach across asset classes and geographies, primarily through direct investing, as well as through a select group of funds and segregated accounts. The Company offers the unique blend of being part of a multi-billion portfolio while also working with a team of professionals in a culture that values intellectual curiosity, collaboration, and respect.
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
This job has a wide array of responsibilities, many of which you’ll learn through a combination of formal and informal on-the-job training. You are encouraged to apply if you’re motivated by the breadth of the work listed below, even if you do not have existing expertise in each of these areas.
- 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 non-controlling and controlling interests in operating companies and funds.
- Develop an in-depth understanding of the Company’s 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 Forms, 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 we take 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.
- Provide counsel on a diverse array of new products and activities, including entering new markets.
- Contribute to the trading infrastructure and operations required to invest in a wide array of asset classes.
- 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 Company’s legal team to foster team strength and resilience.
- Collaborate internally with the investment, performance, operations, tax, and accounting teams.
- Partner with external counsel and other advisors to develop innovative and thoughtful solutions to challenges arising in managing a global portfolio.
- Review, draft, and negotiate commercial agreements.
- 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 7-12 years of relevant experience required.
- Outstanding law firm credentials required.
- In-house experience with an investment adviser or public company preferred.
- 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, the Investment Advisers Act of 1940, and the Commodity Exchange Act.
- Demonstrated ability to learn new areas of law, as well as the willingness to develop a practice in diverse topics such as antitrust, FCPA, sanctions, derivatives, and trading documentation and standards.
- 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 use.
- Intellectual curiosity, with a growth mindset and eagerness to stretch outside your comfort zone, learn new areas of expertise, and broaden your skills.
- Problem solver who takes initiative in looking over the horizon in anticipation of opportunities, new developments, and challenges.
- Highly collaborative, with the flexibility to take on stretch assignments and the humility to thoughtfully execute less glamorous assignments.
- Gifted at navigating ambiguity and a success record in non-hierarchical settings.
- Highest levels of professionalism and integrity.
COMPENSATION AND BENEFITS
The Company is committed to paying employees equitably. A reasonable estimate of the current base salary range for this position is $300,000 to $325,000, with the exact amount driven by several factors including relevant experience, knowledge, education, degree to which a candidate meets the role requirements, and other qualifications. In addition, the Company offers a discretionary annual bonus and a discretionary long-term incentive program.
The Company proudly supports its employees and their families with a comprehensive fully paid benefits package, including medical, dental, vision, life, AD&D, long-term disability insurance, and a generous employer match to 401(k) retirement savings contributions. Employees are also eligible for 18 days of paid vacation each year for the first four years of employment, eight paid holidays, up to three floating holidays per year, up to 14 days of sick leave, and generous paid parental and family leave. Benefits also include several employee wellness programs and mental health resources, a charitable giving match, and reimbursement for fitness, daycare, and/or commuter expenses.
