- Five to ten years as a practicing attorney with relevant experience.
- Experience working with a range of issues affecting private wealth and institutional clients, with a heavy emphasis on alternatives and non '40 Act distribution issues. Familiarity with intermediary, registered investment advisers (RIA), and institutional investor issues associated with alternatives matters.
- Experience working with placement agents, broker-dealers, and alternatives marketplaces
- Experience handling private offering advertising and performance issues under FINRA rules, the Investment Advisers Act of 1940 and the Global Investment Performance Standards (GIPS)
- Thorough familiarity with federal securities laws, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, relevant portions of the Investment Company Act of 1940 and the Commodity Exchange Act and related rules.
- Strong practical skills and industry knowledge.
- Additional helpful experience includes non-US offerings, and state blue sky issues
- Your crisp and clear oral and written communication skills, in particular the ability to reduce complex legal issues to straightforward, practical analysis and advice.
- Your natural collaborative approach in devising pragmatic and creative solutions across a variety of issues in a dynamic environment
- Your strategic and critical thinking skills, excellent judgment, and decision-making skills
- Your professional maturity, confidence, presence, and initiative
- Your ability to work closely and collaboratively with our business partners and others within the Legal, Risk, and Compliance departments
- Your agility and resilience characterized by your ability to stay calm under pressure with a "can-do" attitude.
- Your ability to manage outside counsel to provide excellent legal services in a cost effective manner.
- You will be a key member and contributor to Fidelity Institutional's Legal team. You will work alongside a legal team of other attorneys and paralegals dedicated to distribution issues. This team works together to support the intermediary and institutional sales teams.
- You will interact with product, portfolio management, sales, compliance, and risk and professionals as well as other attorneys across the Fidelity organization.
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Senior Legal Counsel, Fidelity Private Wealth/Institutional Distribution - Smithfield, United States - Fidelity Investments
Description
Job Description:
The Expertise We're Looking For
You will provide counsel to the private wealth management and institutional distribution arm for Fidelity's alternatives business drawing upon your experience dealing with related matters with emphasis on private offerings in the non-'40 Act space across the investor and distribution spectrum.
In this role, you will provide all aspects of legal support to the private wealth management and distribution function of Fidelity Institutional's business for Fidelity's proprietary and non-proprietary alternatives, including marketing and advertising issues and compliance matters.
The Skills You BringYou will play an important role in advising Fidelity leaders, investment, compliance and sales professionals. Your role will be critical to the smooth intake and maintenance of institutional business. You will work closely with a dynamic, highly skilled, and collaborative group of professionals.
The base salary range for this position is $124,000-$262,000 per year.
Placement in the range will vary based on job responsibilities and scope, geographic location, candidate's relevant experience, and other factors.
We offer a wide range of benefits to meet your evolving needs and help you live your best life at work and at home.
These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career.
Note, the application window closes when the position is filled or unposted.Certifications:
Company Overview
Fidelity Investments is a privately held company with a mission to strengthen the financial well-being of our clients. We help people invest and plan for their future. We assist companies and non-profit organizations in delivering benefits to their employees. And we provide institutions and independent advisors with investment and technology solutions to help invest their own clients' money.
Join Us
At Fidelity, you'll find endless opportunities to build a meaningful career that positively impacts peoples' lives, including yours.
You can take advantage of flexible benefits that support you through every stage of your career, empowering you to thrive at work and at home.
Honored with a Glassdoor Employees' Choice Award, we have been recognized by our employees as a top 10 Best Place to Work in 2024.
And you don't need a finance background to succeed at Fidelity-we offer a range of opportunities for learning so you can build the career you've always imagined.
At Fidelity, our goal is for most people to work flexibly in a way that balances both personal and business needs with time onsite and offsite through what we're calling "Dynamic Working".
Most associates will have a hybrid schedule with a requirement to work onsite at a Fidelity work location for at least one week, 5 consecutive days, every four weeks.
These requirements are subject to change.At Fidelity, we value honesty, integrity, and the safety of our associates and customers within a heavily regulated industry. Certain roles may require candidates to go through a preliminary credit check during the screening process.
Candidates who are presented with a Fidelity offer will need to go through a background investigation, detailed in this document, and may be asked to provide additional documentation as requested.
This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent).
These investigations will account for 7 years or more of history, depending on the role.Where permitted by federal or state law, Fidelity will also conduct a pre-employment drug screen, which will review for the following substances: Amphetamines, THC (marijuana), cocaine, opiates, phencyclidine.
We invite you to Find Your Fidelity atFidelity Investments is an equal opportunity employer.
We believe that the most effective way to attract, develop and retain a diverse workforce is to build an enduring culture of inclusion and belonging.
Fidelity will reasonably accommodate applicants with disabilities who need adjustments to participate in the application or interview process.To initiate a request for an accommodation, contact the HR Accommodation Team by sending an email to , or by calling , prompt 2, option 3.
