CLO — Financial Services Group

Contesto

Our client manages $180bn in client assets and is subject to oversight from the SEC, FINRA and multiple state regulators. The CLO role has become available following the retirement of the incumbent.

Responsabilità

• Lead a legal function of 60 lawyers
• Serve as primary legal advisor to CEO, Board and Audit Committee
• Manage relationships with SEC, FINRA and state regulators
• Lead legal DD and documentation for acquisitions
• Oversee corporate governance and SEC reporting

Profilo del candidato

• General Counsel or CLO at a public financial services company
• Deep knowledge of US securities law, investment adviser regulation and broker-dealer compliance
• Track record of managing large legal teams
• JD from a leading US law school; active bar admission required

Processo

Retained mandate. All applications handled with complete confidentiality.