Triloma is seeking a dynamic and experienced attorney with practical experience advising corporations, asset managers and financial services firms on various corporate, securities and governance matters. The attorney will advise and support the vision and strategic objectives of Triloma. Reporting to the General Counsel, the candidate will advise the business on matters that will help Triloma reach its business objectives while complying with the wide array of laws and regulations.
- Provide legal and regulatory advice on investment-related matters and regulatory requirements, including matters related to the Investment Company Act of 1940, the Investment Advisers Act of 1940, FINRA rules and regulations and Regulation D;
- Provide legal and regulatory advice on the distribution of products via the Triloma Securities platform;
- Provide legal, regulatory and compliance guidance on placement agent services, and review and comment on various communications with the public regarding the investment banking line of business;
- Draft concise and accurate committee minutes and other documents;
- Draft, review and summarize an annual Conflicts of Interest/Risk Assessment questionnaire and process;
- Provide legal support on the corporate governance process including management of the firm’s corporate books and records, minutes and signing authorities’ other entity-related matters;
- Work closely with marketing, due diligence, compliance and sales team on the entity’s legal and compliance issues to ensure that legal risks are identified and mitigated appropriately;
- Conduct research and keep abreast of relevant laws, regulations, legal developments and industry issues;
- Draft critical company policies/procedures for implementation;
- Perform other assignments and projects, as assigned.
J.D. degree required. Licensed to practice law in Florida (or ability to obtain an in-house counsel license), 4-7 years experience practicing corporate and/or securities law, related financial services experience preferred. Prior regulatory experience desired.
- Superior written and oral communications skills, with the ability to summarize complex legal and board related matters concisely and accurately;
- Superior proofreading skills and the ability to edit documents and suggest improvements to existing processes;
- Ability to handle multiple tasks, take on new responsibilities and prioritize work in a deadline-intensive environment; experience in leading and facilitating change;
- Ability to understand and integrate details of business/operational/systemic environment in applying legal and policy requirements;
- Strong desire to support the identification, evaluation and escalation of legal risk issues;
- Strong interpersonal and teamwork skills and ability to influence through collaboration.
This position is with the entity Triloma Financial Group, LLC, an equal opportunity employer.