CLO — Financial Services Group

A Organização & Contexto

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.

Responsabilidades Principais

• 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

Perfil do 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 de Pesquisa & Confidencialidade

Retained mandate. All applications handled with complete confidentiality.