Job Description
Overview:
The Counsel - Investments will serve as the primary legal counsel to Fort Washington Investment Advisors ("FWIA") on transactional, securities and regulatory matters relating to the registration and operation of the investment advisor and compliance with Investment Advisors Act of 1940, and associated rules. Duties include providing advice and legal support to FWIA's Private Equity and Private Debt strategies, including fund formation; compliance with Securities Act of 1933, and associated rules; structured finance/CLOs; fundraising and marketing; SEC compliance; and other investment transactions and fund operation activities. Provides general corporate legal services, including mergers/acquisitions support related to the Enterprises' many corporate entities.
Responsibilities: What you will do:
- Advises General Counsel, Associate General Counsel(s), FWIA senior management, and shared services unit senior management on legal matters; offers expertise and advice on complex legal issues.
- Advises FWIA management and CCO on all legal matters with little direction or supervision.
- Advises FWIA investment teams on private equity, private debt, private placements, and other fixed income and equity investments with little direction or supervision.
- Advises FWIA on private fund formation, securities law compliance, registration statements and other SEC filings, and related fundraising and investment activity.
- Supports FWIA on (i) development of compliance programs; (ii) review of numerous types of external client and marketing communications; (iii) response to any regulatory exams or inquiries; and (iv) SEC and other regulatory filing requirements.
- Provides legal counsel to the Enterprise regarding strategic venture capital program including both fund and direct investments.
- Provide legal support as a team member on Enterprise mergers/acquisitions projects, as needed.
- Communicates and negotiates with other attorneys and regulatory authorities to resolve disputes.
- Drafts, negotiates and finalizes complex legal documents within prescribed deadlines.
- Effectively and efficiently manage outside counsel substantively on issues as well as on budget.
- Is detail-oriented, responsive and resourceful, with excellent follow-through skills.
- Performs other duties as assigned.
- Complies with all policies and standards.
- PhD Juris Doctor degree in Law from accredited law school
- Substantial experience (5+ years following law school) in the role of Counsel or equivalent in title and experience handling complex investment transactions, investment advisor regulatory matters and/or other corporate projects. (Preferred)
- Comprehensive knowledge of securities laws.
- Excellent written and verbal communication and technical drafting/writing skills.
- Able to manage and prioritize multiple competing priorities; meeting deadlines is imperative.
- Extensive experience in a corporate legal department and/or law firm, working independently with clients on complex matters with little supervision.
- Strong leadership abilities and excellent communication/interpersonal skills.
- Excellent issue identification, negotiation and conflict resolution skills (creativity and problem solving).
- Sound judgment and initiative in selecting the most effective solutions.
- Detail-oriented and resourceful with excellent follow-through skills.
- Ability to work under pressure, prioritize and manage multiple tasks.
- Demonstrated ability to build collaborative relationships with executive leadership, and to influence others beyond direct control, both inside and outside the Enterprise.
- Ability to work under pressure, prioritize and manage multiple tasks.
- Demonstrated ability to collaborate with other attorneys and colleagues in the organization on legal and regulatory matters, cases and/or issues; proven appreciable knowledge and perspective of financial services businesses.
- Bar Admission License to practice law in Ohio (or ability to obtain license in Ohio) Upon Hire
Work Setting/Position Demands:
- Works in an office setting and remains in a stationary position for long periods of time while working at a desk, on a computer or with other standard office equipment, or while in meetings.
- Requires the ability to verbally communicate and exchange accurate information to customers and associates on a regular basis.
- Requires visual acuity to read and interpret a variety of correspondence, procedures, reports and forms via paper and electronic documents, visual inspection involving small defects; small parts, and/or operation of machinery (including inspection); using measurement devices continuously. Visual acuity is required to determine accuracy, neatness, and thoroughness of work assigned.
- Requires the ability to prepare written correspondence, reports and forms using prescribed formats and conforming to rules of punctuation, grammar, diction, and style on a regular basis.
- Requires the ability to apply principles of logical thinking to define problems, collect data, establish facts, and draw valid conclusions
- Performs substantial movement of wrists, hands, and fingers for continuous computer work.
- Extended hours required during peak workloads or special projects/events.
- Occasional after-hours work needed
Travel Requirements:
- Ocassional
Qualification
Juris Doctor (JD)
Practice Areas & Specialty
4 Act, Compliance/Regulatory, Corporate, Finance, Investment Advisor, M&A, Securities, Venture Capital
Key skill Required
- Ability To Work Under Pressure
- Communication
- Compliance
- Comprehensive
- Conflict Resolution
- Creativity
- Demonstrated Ability
- Development
- Drafting
- Executive Leadership
- Filing
- Finance
- Financial Services
- Fund Formation
- Fundraising
- Influence
- Initiative
- Interpersonal Skills
- Issue Identification
- Leadership
- Legal Documents
- Management
- Marketing
- Office Equipment
- Private Equity
- Problem Solving
- Resourceful
- Securities Law
- Senior Management
- Sound Judgment
- Structured Finance
- Supervision
- Venture capital
- Verbal Communication
- Visual Acuity
- Visual Inspection
- Writing
- Written and Verbal Communication
- Written Correspondence
Designation
- Counsel
