Apply on Employer Site

Lincoln Financial · 3 days ago

AVP, Sr. Counsel - Fund Mgmt

Radnor, PA

Full-time

Hybrid

Senior Level, Lead/Staff

$126K/yr - $229K/yr

10+ years exp

Lincoln Financial is a company that helps people confidently plan for their financial futures. In this role, you will provide leadership and specialized legal counsel to senior management regarding Lincoln’s SEC-registered investment adviser and proprietary funds, ensuring compliance with relevant regulations and advising on fund operations and board matters.

AdviceFinanceFinancial ServicesInsurance

Responsibilities

Leading the negotiations of service agreements, advisory agreements, consulting agreements, confidentiality agreements, vendor contracts for services supporting the advisor and the mutual fund complex

Drafting, negotiating, and interpreting participation agreements, shareholder servicing agreements and distribution-related contracts, including those with broker-dealers, retirement plan administrators and other intermediaries

Drafting, negotiating and interpreting exemptive orders and no-action letters; and futures agreements, trading services agreements and other agreements related to portfolio securities and trading matters

Collaborating with peers and leadership across the Business Units and Departments to champion and drive change management and process improvements

Providing legal advice on the ongoing operation of Lincoln Financial Group’s proprietary mutual funds and the advisory and administrative services LFG affiliates provide to the funds

Providing legal advice on fund registration statements, annual and other regulatory reports, filings and certifications

Providing legal advice on fund board matters and materials, including procedural and other requirements for board meetings and adviser board meeting materials

Counseling business leaders and clients as necessary on fund and adviser policies and procedures and provides other legal support on fund and adviser compliance matters

Providing legal advice regarding strategic initiatives of Funds Management and related business lines/products; and regarding new fund development and compliance

Advising fund complex and adviser or on new laws, changes/developments in the laws and other industry developments (legislative, regulatory, case law) and assist Funds Management Legal and Compliance group, and Lincoln, with key regulatory compliance

Assisting in all regulatory examinations of fund complex and adviser and providing related support for other Lincoln regulatory examinations

Directing outside counsel on various legal matters as appropriate

Qualification

Investment Company ActInvestment Advisers ActSecurities ActLegal CounselBusiness Law ExperienceLegal Project ManagementCompliance KnowledgeNegotiation SkillsCollaboration Skills