Job purpose:
- This position will assist the Head of Legal for Invesco ETFs as well as various Assistant General Counsels in the US Legal department in executing legal responsibilities relating to Invesco’s asset management products with a particular focus on ETFs and other registered U.S. based products
- This role includes daily involvement with both internal and external business clients and participation in the normal business decision-making process to ensure that Invesco’s legal concerns, issues, risks, and liabilities are identified and dealt with effectively
- In addition this position may entail internal corporate governance activities for various Invesco entities.
Your Responsibilities:
- Provision of legal advice relating to Invesco’s investment products, services, and the support of Invesco’s operating areas focused on the development, management and distribution of ETFs, open and closed-end mutual funds, exchange-traded commodity pools, trust company sponsored exempt investments pools, UITs and separate accounts
- Preparation of board materials and presentations and in certain cases the delivery of these presentations to various boards of trustees/directors and senior management
- Coordination with the Compliance department to ensure proper implementation and execution of policies and procedures
- Provide ongoing advice with respect to structuring and maintaining registered and unregistered investment vehicles including preparation of offering materials and related ongoing reviews of registration statements and offering documents
- Advice and 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, U.S. Exchange Listing Rules and Regulations and ERISA
- Provide proactive and situation specific advice on individual transactions, contracts and projects and on broader issues of policy and principles
- 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, internal and external clients and boards of trustees/directors by demonstrating superior responsiveness and client service and by establishing a constructive relationship based on clear communication, ensuring mutual understanding, and regulators’/clients’ objectives and expectations
- Lead initiatives on a multi-functional basis to enhance business processes and address business operational issues
- Collaborate closely in a proactive, problem solving manner with other functional areas on matters such as regulatory compliance, product development, and sales/marketing and activities.
Skills and Qualifications:
- Minimum of 5 – 10 years of experience since admission to the Bar required
- Minimum of 5+ 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 a range of regulatory bodies (SEC, FINRA, CFTC, OCC) is preferred
- Previous experience working with ETFs and mutual funds is required
- Experience working with 33 Act Commodity Pools is preferred
- A proven track record of success in partnership and collaboration with colleagues and senior business and organizational partners for the development and delivery of strategies and solutions is required
- Ability to influence major decisions through reasoned analysis and business understanding
- 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.
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