Senior Counsel - Derivatives

Invesco Atlanta , GA 30301

Posted 2 months ago

Invesco is one of the world's leading global investment managers, entrusted with managing $1.2 trillion* in assets on behalf of clients worldwide. We are the 6th largest US retail asset manager and the 13th largest investment manager globally, and our more than 8,000 employees worldwide are dedicated to delivering an investment experience that helps people get more out of life. We are purely focused on managing a comprehensive range of active, passive and alternative investment capabilities, which we draw on to provide customized solutions aligned to client needs, our most important benchmark. (*As of May 31,2019)

Job Purpose (Job Summary):

The primary purpose of this position is to provide legal leadership in support of Invesco's derivatives capabilities. This individual will also provide ongoing legal support to various US-based investment centers, with particular focus on equity and alternative asset classes managed in registered and unregistered US-based products. This individual will work with other members of the Invesco Americas legal team as well as counterparts across the globe to support our various product lines. 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 addressed timely and effectively. In addition, this position may entail participation in and leading internal corporate governance activities for various Invesco entities. Some travel is required.

Key Responsibilities / Duties:

  • Provide advice and counsel to investors on their use of derivatives and other complex securities in the management of their advisory accounts.

  • Negotiate and prepare derivatives related contract work to support the derivatives trading capabilities of the firm.

  • Track, monitor and guide the business in its strategic response to derivatives regulatory reform. This necessarily requires cross-border collaboration with counterparts overseas.

  • Provide legal advice relating to Invesco's investment products, services and the support of Invesco's operating areas focused on the development, management, and regulatory disclosure.

  • Prepare board materials and presentations and, in certain instances, deliver presentations to various boards of trustees/directors and senior management.

  • Coordinate with the Compliance department to ensure proper implementation and execution of policies and procedures.

  • Advise and conduct legal research regarding regulatory matters applicable to Invesco's products and services with primary emphasis on the Investment Advisers Act

  • And Investment Company Act, Securities Exchange Act of 1934, Securities Act of 1933, Commodities Act and ERISA.

  • 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's policies, procedures and 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.

  • Establish a constructive relationship with regulators and internal and external clients and boards of trustees/directors based on clear communication that ensures mutual understanding, and regulators'/clients' objectives and expectations.

  • 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.

Work Experience / Knowledge:

  • A proven track record of success as a productive high performer in partnership and collaboration with colleagues and senior business and organizational partners is required.

  • Minimum of 10 years of experience with a focus in derivatives work; Admission to the Bar required.

  • Experience with registered mutual funds, the Investment Advisers Act of 1940 and the Investment Company Act of 1940 is required.

  • Experience working with a range of regulatory bodies (SEC, FINRA, CFTC, 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.

Skills / Other Personal Attributes Required:

  • Strong written and verbal communication skills to engage a variety of large audiences, internally and externally.

  • Ability to build strong relationships within the Legal, Compliance & Internal Audit departments as well as with senior management and other key constituencies.

  • 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.

Formal Education: (minimum requirement to perform job duties)

  • Bachelor's degree and JD are required.

FLSA (US Only): Exempt

The above information on this description has been designed to indicate the general nature and level of work performed by employees within this role. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job. The job holder may be required to perform other duties as deemed appropriate by their manager from time to time.

Invesco's culture of inclusivity and its commitment to diversity in the workplace are demonstrated through our people practices. We are proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, creed, color, religion, sex, gender, gender identity, sexual orientation, marital status, national origin, citizenship status, disability, age, or veteran status. Our equal opportunity employment efforts comply with all applicable U.S. state and federal laws governing non-discrimination in employment.

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Senior Counsel - Derivatives