Counsel, Funds Management

Date: Oct 9, 2021

Location: Radnor, PA, US

Company: Lincoln Financial

Alternate Locations: Radnor, PA (Pennsylvania)

 

Work Arrangement: Hybrid/Home

 

Relocation assistance is not available for this opportunity.

 

Level: P4 

 

Requisition #: 66704

 

 

Be Aware of Fraudulent Recruiting Activities

 

If you are interested in a career at Lincoln, we encourage you to review our current openings and apply on our website. Lincoln values the privacy and security of every applicant and urges all applicants to diligently protect their sensitive personal information from scams targeting job seekers. These scams can take many forms including fake employment applications, bogus interviews and falsified offer letters.

 

Lincoln will not ask applicants to provide their social security numbers, date of birth, bank account information or other sensitive information in job applications. Additionally, our recruiters do not communicate with applicants through free e-mail accounts (Gmail, Yahoo, Hotmail) or conduct interviews utilizing video chat rooms. We will never ask applicants to provide payment during the hiring process or extend an offer without conducting a phone, live video or in-person interview.  Please contact Lincoln's fraud team at fraudhotline@lfg.com if you encounter a recruiter or see a job opportunity that seems suspicious.

 

 

 

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. #LI-AE1

What we're 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.

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’s it like to work here  

 

At Lincoln Financial Group, we love what we do. We make meaningful contributions each and every day to empower our customers to take charge of their lives. Working alongside dedicated and talented colleagues, we build fulfilling careers and stronger communities through a company that values our unique perspectives, insights and contributions and invests in programs that empower each of us to take charge of our own future. 


What’s in it for YOU: 

A clearly defined career framework to help you successfully manage your career  

Leadership development and virtual training opportunities 

PTO 

Ten Weeks Parental leave  

Competitive 401K and employee benefits 

Free financial counseling, health coaching and employee assistance program 

Tuition assistance program 

A leadership team that prioritizes your health and well-being; offering a remote work environment 

Effective productivity/technology tools and training 
 

Work Arrangement:

Hybrid/Home : Employees will work from home generally three days each week and come into a Lincoln office on a schedule their manager will help set, following any applicable in-office training period determined by their manager. 

 

 

This position may be subject to Lincoln’s Political Contribution Policy.  An offer of employment may be contingent upon disclosing to Lincoln the details of certain political contributions. Lincoln may decline to extend an offer or terminate employment for this role if it determines political contributions made could have an adverse impact on Lincoln’s current or future business interests, misrepresentations were made, or for failure to fully disclose applicable political contributions and or fundraising activities.

 

Any unsolicited resumes/candidate profiles submitted through our web site or to personal e-mail accounts of employees of Lincoln Financial Group are considered property of Lincoln Financial Group and are not subject to payment of agency fees.

 

 

Lincoln Financial Group (“LFG”) is an Equal Opportunity employer and, as such, is committed in policy and practice to recruit, hire, compensate, train and promote, in all job classifications, without regard to race, color, religion, sex (including pregnancy), age, national origin, disability, sexual orientation, gender identity and expression, veterans status, or genetic information.  Applicants are evaluated on the basis of job qualifications.  If you are a person with a disability that impedes your ability to express your interest for a position through our online application process, or require TTY/TDD assistance, contact us by calling 260-455-2558.

 

 

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