CLO — Financial Services Group

JOlivier & Partners has been retained to identify a CLO for a publicly listed NY financial services group, leading a legal function of 60 lawyers across investment management, trading, regulatory compliance and corporate matters.

The Organisation & Context

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.

Key Responsibilities

• 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

Candidate Profile

• 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