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Investment Management Legal Counsel

BRUIN Financial
Closing date
15 Sep 2021

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Contract Type
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Funds Legal Counsel with a Leading Global Asset Management firm
  • Legal Counsel based in London, primarily responsible for matters relating to the distribution and marketing of investment products and services, including legal subject matter expertise with regards to the negotiation of the associated contractual framework.
  • Working closely with Legal Counsel based in London and in Luxembourg and provide legal advice and support to the firm's business operations in EMEA and Latin America, with particular focus on EMEA and the UK.
  • Key Requirement : Knowledge of fund structures, in particular OEICs/ICVCs in the UK, cross border distribution, and investment management agreements.
  • Provide guidance and expertise to associates responsible for corporate secretarial work for the firm in the UK its European subsidiaries, and EMEA funds
  • General commercial work, as may be needed, for the region.

Principal Responsibilities
  • Reviews and updates fund documents and materials. Works closely with colleagues in legal and product management on FCA submissions, ongoing dialogue with the regulator, as well as coordinating advice with external legal counsel.
  • Reviews and negotiates fund distribution/platform and purchase agreements. Works closely with colleagues in product management and intermediary liaison to identify legal, commercial and operational issues in such agreements and to negotiate resolution.
  • Reviews and negotiates separate account agreements and amendments. Assists in completion of RFPs. Works closely with the client onboarding and sales teams to identify issues and negotiate resolution.
  • Undertakes complex legal projects covering areas related to FCA consultations and policy statements, ESG etc. Undertakes research and summarises for senior legal and business colleagues.
  • Reviews and negotiates general contracts (not directly related to separate account clients or funds). Implements intra-group arrangements as may be required for tax, legal or regulatory purposes e.g. transfer pricing / intra-company settlements.
  • Ensures that continuing registration and corporate obligations are tracked and met by liaising with regulators, external legal counsel, internal finance, compliance and tax teams to ensure those obligations are correctly met.
  • Monitors relevant regulatory developments. Works closely with the business to advise on regulatory changes pertaining to the asset management and trading sector, and their impact

  • Legal Counsel with a background in Investment Management either from Private Practice or in-house
  • Extensive knowledge of public Funds including structuring & distribution agreements
  • Knowledge of UCITS and experience of working with EMEA based entities
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