Counsel, Funds Management

Lincoln Financial Group

The Role at a Glance:
We’re excited to bring on a Counsel, Funds Management to our Legal Team based in Radnor, PA. This position will provide legal counsel and subject matter expertise to the Lincoln Financial Group business segments, including SEC-registered investment advisers, that are responsible for providing investment management services to proprietary SEC-registered mutual funds and separate accounts.  They will provide legal support, legal project management, and guidance regarding the proprietary mutual funds, including advice regarding fund disclosures, operations, and board matters.

What you’ll be doing:

Provide 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, including fund registration statements, annual and other regulatory reports, filings and certifications, fund board matters and materials, including procedural and other requirements for board meetings and adviser board meeting materials.
Lead the negotiations of service agreements, advisory agreements, consulting agreements, confidentiality agreements, vendor contracts for services supporting the advisor and the mutual fund complex.
Draft, negotiate, and interpret participation agreements, shareholder servicing agreements and distribution-related contracts, including those with broker-dealers, retirement plan administrators and other intermediaries.
Draft, negotiate and interpret exemptive orders and no-action letters; and futures agreements, trading services agreements and other agreements related to portfolio securities and trading matters.
Counsel business leaders and clients as necessary on fund and adviser policies and procedures and provides other legal support on fund and adviser compliance matters.
Advise fund complex and adviser or on new laws and regulations, 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.
Assist in all regulatory examinations of fund complex and adviser and provide related support for other Lincoln regulatory examinations.
What we are looking for:

Must have:
3-5+ years of experience counseling clients with respect to federal securities laws
Experience with corporate law and/or Federal securities laws
Ability to read, analyze and interpret internal and external documents such as SEC rules and regulations; court decisions; general media/publications; professional journals, technical procedures, policies, proposals, and standard operating procedures.
Ability to develop and communicate complex policies to diverse audiences.
Undergraduate Degree plus Law Degree and Bar admission within the United States.
Nice to have:

Experience with investment companies and SEC-registered investment advisers
Familiarity with Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933, or other related laws and regulations.

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