- This role includes daily involvement with both internal and external business clients and participation in the normal business decision-making process to ensure that legal concerns, issues, risks, and liabilities are identified and addressed effectively
- In addition, this position may entail participation in and leading internal corporate governance activities for various Invesco entities.
- Provide legal advice to the business relating to Invesco’s investment products, services, and the support of operating areas of the firm focused on the development, management, regulatory disclosure and distribution of open and closed-end mutual funds, ETFs, commodity pools, trust company sponsored exempt investments pools, UITs and separate accounts
- Prepare board materials and presentations and, in certain instances, deliver presentations to various boards of trustees/directors and senior management
- Partner closely with the Compliance department to ensure proper implementation and execution of policies and procedures
- Provide ongoing advice and support with respect to structuring and maintaining registered and unregistered investment vehicles, including preparation of offering materials and related on-going reviews of registration statements and offering documents
- Advise and conduct legal research regarding regulatory matters and all aspects of Invesco’s products and services with primary emphasis on: the Investment Advisers Act, Investment Company Act, Securities Exchange Act of 1934, Securities Act of 1933 Act, Commodities Act and ERISA
- Negotiate and advise on legal contracts and documents and general corporate matters impacting Invesco operating companies servicing our investment products
- Provide proactive and situation specific legal advice on individual transactions, contracts and projects and on broader issues of policy
- Ensure that applicable laws and regulations as well as Invesco standards are fully observed in spirit as well as in letter
- Ensure productive relationships with regulators and internal and external clients and boards of trustees/directors by demonstrating superior responsiveness, accountability and client service
- Lead initiatives on a multi-functional basis to enhance business processes and address business operational issues and objectives
- Liaise in a proactive, problem solving manner with other functional areas on matters such as regulatory compliance, product development, and sales/marketing activities.
Skills and Qualifications:
- 2 to 6 years of legal experience since admission to the Bar, including a minimum of 2+ years of experience with Investment Advisers/Company Act of 1940 in a large law firm and/or in-house setting is required. Experience working with ETFs strongly preferred
- Experience working with a range of regulatory bodies (SEC, FINRA, CFTC, DoL, OCC) is preferred.
- Experience working with 33 Act Commodity Pools is preferred
- Expertise with ERISA in the context of investment management services and products is preferred
- Strong written and verbal communication skills to command respect with gravitas and engage a variety of large audiences, internally and externally
- Ability to quickly build strong internal and external networks, leverage relationships and identify key decision-makers to assist in accomplishing business objectives
- Ability to influence major decisions through reasoned legal analysis and business understanding
- Strong work ethic and the desire and capability to get involved in the details of key business issues
- Ability to quickly grasp and solve complex problems; deal with and manage change in a fluid environment; prioritize multiple competing projects and initiatives; examine issues from multiple perspectives
- Display a high degree of interpersonal skills, tact and diplomacy with all constituencies; strong collaboration skills with peers and colleagues
- Strong sense of urgency with unquestionable integrity
- Demonstrate ownership, accountability and a proactive mind-set
- Experience in dealing with remote line management and/or matrix management structures is highly beneficial and desired
- Some travel required
- Bachelor of Science or Bachelor of Arts degree and JD are required
- Licensed and active state Bar membership.
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- Experience 3-5 Years