Director, Managing Counsel- Investment Management
JOB DESCRIPTION Bring your ideas. Make history. BNY Mellon offers an exciting array of future-forward careers at the intersection of business,...
JOB DESCRIPTION
- Lead the day-to-day legal support to the BNY Mellon Investment Management North American Distribution business.
- Lead support for all distribution and placement arrangements entered into with affiliates and third party intermediaries in the United States and Canada, including in connection with 1940 act-registered funds and separately managed account (SMA) advisory services.
- Work with Compliance in drafting, updating and applying policies and procedures for investment management and distribution functions, as well as providing support in connection with relevant registration/disclosure forms (e.g., Form ADV and Form BD), regulatory exams and FINRA licensing/supervision matters.
- Support for the Legal Department on key initiatives. This will at times include coordinating with global colleagues and other stakeholders on time sensitive matters.
- Advise on legal and regulatory matters and related developments concerning BNY Mellon Securities Corporation as an investment adviser and broker/dealer.
- Provide advice and assist in implementation of new product/service initiatives.
- The ideal candidate will have significant experience and expertise regarding the marketing and offer of registered funds (e.g., mutual funds; ETFs) as well as private funds offered under Regulation D, the direct offering of retail brokerage and investment advisory services to individuals, and related expertise regarding the associated SEC and FINRA regulations governing broker/dealers and investment advisers.
- The ideal candidate will also have experience regarding the offering of bank collective funds.
- JD and licensed to practice in Florida or PA.
- 10+ years of relevant experience.
- Strong written and oral communication skills. Ability to interact with senior decision makers.
- Critical analytical skills and ability to bring a holistic perspective to businesses that operate in a multi-faceted and changing legal/regulatory environment.
- Deep knowledge of Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933 and FINRA rules & guidance, with particular emphasis on areas impacting marketing and distribution of securities and investment advisory products and services (e.g., FINRA Rule 2210; SEC Marketing Rule; Form CRS and Regulation Best Interest).
- Experience in managing individuals and leading legal coverage for a function.
- Ability to deal with a varied workload in a fast-paced environment. Must be able to prioritize matters and be adaptable.
- Ability to build relationships with a variety of different internal clients.
- Pragmatic, someone who looks for solutions rather than obstacles. The legal team is seen as a business partner and the successful candidate will be someone who is comfortable relating to and dealing with business colleagues as the role will involve frequent interaction with business colleagues.
- Ability to identify and manage legal risks.
- A clear communicator, concise and able to deliver legal advice in laymans terms.
- A team player. The ability to work harmoniously and responsively with ones colleagues and clients is an essential pre-requisite for the role.
- Enthusiastic, with a desire to develop ones career in one of the worlds largest investment management businesses.
At BNY Mellon, our inclusive culture speaks for itself. Heres a few of our awards:
- Fortune Worlds Most Admired Companies & Top 20 for Diversity and Inclusion
- Bloombergs Gender Equality Index (GEI)
- Human Rights Campaign Foundation, 100% score Corporate Equality Index
- Best Places to Work for Disability Inclusion, Disability: IN 100% score
- 100 Best Workplaces for Innovators, Fast Company
- CDPs Climate Change A List
- Forbes Blockchain 50
Our Benefits:
BNY Mellon offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your lifes journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves that can support you and your family through moments that matter.
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.
ABOUT US
For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments & safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark: bnymellon.com/careers.Below are some other jobs we think you might be interested in.
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