A large and reputable Seattle-based asset management company is looking to bring on a seasoned Securities Counsel to join their robust & large legal team. As an expert with securities law, you will also become heavily involved in their several investment strategies and advise on legal implications/obligations for entering new markets and strategies. This will work directly with the Head of the Trading, Securities, and Regulatory group, and cover a wide variety of responsibilities related to securities and regulatory law.
The role will primarily be reasonable for working with the investment team on legal and compliance issues affecting all the equity investments and other transactions, as well as monitoring the portfolio for securities law and regulatory compliance issues. Analyzing and preparing U.S. filings, including Schedules 13D/G, Form 13F, Form 13H, Forms 3, 4, and 5, Form 144, will be needed as well.
The firm is looking for experienced corporate and securities attorneys with at least 7+ years of experience with securities law, strong knowledge of investment products, the ability to work alongside other team members in a collaborative environment, and local to Seattle or able to relocate.
Responsibilities:
- Working with our investment team on legal and compliance issues affecting large equity investments and other transactions
- Monitoring the portfolio for securities law and regulatory compliance issues
- Identifying legal and regulatory developments relevant to a portfolio of investments across multiple asset classes
- Work with trading and investments teams for portfolio-informed advice for public and private investments
- Analyze and prepare U.S. filings, including Schedules 13D/G, Form 13F, Form 13H, Forms 3, 4, and 5, Form 144, etc.
- Other general corporate governance matters
Qualifications:
- Experience working with investment teams, advising on all legal matters
- Extensive experience with filings including but not limited to Schedule 13D, Schedule 13G, Form 13F, Form 13H etc.
- Extensive experience with the Securities Act of 1933, the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940
- In-house experience at an investment firm preferred
- Excellent written and verbal communication skills
- JD. from accredited school
- 7+ years of experience
