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The AGC III, Securities and Governance will be responsible for handling a variety of assigned legal projects, including corporate governance, securities law and reporting/disclosure, risk management, and general corporate and partnership issues. The individual will work closely with other attorneys in the Legal Department and with business leaders and stakeholders throughout the Firm to provide legal advice on a diverse range of corporate, securities, governance and risk matters related to emerging and ongoing initiatives, including in response to a frequently changing regulatory environment.

This individual will be a key source of influence; leveraging their prior securities law and reporting/disclosure, corporate governance and risk management experience to advise the Firm’s key business stakeholders and be a thought leader within the Firm.

 

The Associate General Counsel III – Securities and Governance should possess:

• Expert level knowledge of federal and state securities laws and disclosure practices, including experience with filing annual, quarterly and interim reports
• Experience with best-in-class corporate secretary and governance programs, practices, policies, and initiatives for various business organization types, including partnerships
• Strong knowledge of general corporate law, including governance matters and complex subsidiary structures
• Experience with partnership governance documents including partnership agreements
• Familiarity with laws, rules, regulations, and disclosure practices related to risk management and risk management frameworks
• Familiarity with issues in the securities industry, including issues involving the SEC, FINRA, and state securities regulators
• Commitment to high level of ethics, professionalism and integrity; a demonstrated ability to maintain confidentiality; sound conflict resolution skills
• Excellent communications skills; strong initiative, work ethic, and leadership skills; exceptional judgment and decision-making abilities
• Broad experience providing legal advice, independently and with other attorneys in the Firm and sophisticated outside counsel, to identify, evaluate and resolve complex legal questions and issues
• Ability to analyze and resolve complex legal matters, recommend changes to organizational policies and procedures, develop innovative solutions to manage and mitigate risk to the Firm, and add value in a dynamic and transforming organizational and regulatory environment
• Ability to successfully partner with associates across the Firm in a collaborative manner to build legal understanding, deliver results, and move important work through the organization
• Ability to think independently and strategically, be proactive, execute tactically, and drive matters to conclusion
• Ability to independently manage a large, complex, and diverse workload often in short timeframes
• Strong organizational skills, attention to detail, resourcefulness, and flexibility for changing priorities

 

Specifically, the attorney will:

• Provide legal advice and guidance and assist with preparation and filing of required filings and disclosures with the SEC and other applicable regulators including, without limitation, Form 10-K, Form 10-Q, Form 17-H, Form 8-K, Form 3, and Form 13-H
• Provide legal guidance, advice, and support in connection with the Firm’s ownership structure, partnership interest offerings, and related disclosures
• Provide legal advice, guidance and support to Firm governance structure including, without limitation, Audit Committee, executive management teams, and formal governance committees
• Support entity management, state registration and maintenance filings
• Provide legal support and guidance to the Firm’s enterprise risk management capability, advise on development and maintenance of enterprise risk management and risk governance frameworks and programs in accordance with existing and proposed laws, rules, regulations, and industry best practices.
• Provide legal counsel and guidance to the Firm’s Internal Audit Department.