BCI - Brokerage Consultants Ltd.

Our Focus: Financial Services

We connect the right people with the right positions throughout the financial community.

  • Asset Management
  • Alternative Investments
  • Banking
  • Broker/Dealers
  • Commercial Lending
  • Consulting
  • Corporate Treasury
  • Family Offices
  • Financial Services Software Services
  • Insurance & Pension Funds
  • Municipal Finance
  • Private Equity
  • Real Estate Finance
  • Trading

Brokerage Consultants - Financial Recruiting

Tap our resources.

They run deep. Since our inception we've kept our focus trained exclusively on the financial industry, and we've built a vast network of contacts in the process. Let us put those resources to work for you. We'll connect you with the most current job openings at the most desirable companies in Chicago or nationwide.

Job Order:
18236-209

Job Type:
Permanent

Title:
Attorney/General Counsel (Asset Management) (18236-209)

Location:
Colorado

Description:
Unique multi-billion-dollar investment management firm seeks securities
attorney to act as General Counsel, working with management on implementing
a strategic plan to offer proprietary absolute return strategies through
mutual funds/CITs/SMAs/Hedge Funds and a Family Office. Compensation package
will include long-term stock/ownership potential.

RESPONSIBILITIES:
Work with investors/strategic partners on potential corporate transactions
Help develop proper corporate governance including HR; audit company
compliance policies/procedures
Handle contract/litigation-related matters (contract negotiation with
partners, broker/dealers, prime relationships)
Represent firm in arbitration proceedings (directly and with outside
counsel); coordinate with outside counsel on court actions involving firm
Advise firm employees on pre-litigation matters
Handle regulatory inquiries from SEC, FINRA, CFTC, NFA and other regulatory
authorities
Draft agreements/disclosures/due diligence questionnaires/product launch
agreements
Review contracts and provide direction during contract renewal of key
relationships
Craft written instructions for programmers/technology staff to respond to
new regulations
Legal work for Family Office line of business including working with each
respective family business

REQUIREMENTS:
Post-J.D. experience as a litigator at a law firm, financial services
regulatory agency, exchange or broker-dealer
General Counsel experience strongly preferred
Experience in court/arbitration proceedings; prior trial experience
preferred
Investment industry compliance experience dealing with regulatory inquiries
from SEC, FINRA, CFTC, NFA
Experience with or understanding of Family Offices preferred but not
required
Membership in good standing of the Bar of any U.S. State or the District of
Columbia
Solid academic background; outstanding oral/written communication skills
High degree of comfort/fluency/understanding of the application of
computers/technology to business and regulatory problems
Ability to work in a small-team environment independently and to multi-task
with minimal supervision


Category:
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Contact:
matt@bcius.com