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    General Counsel - Houston, United States - Stephens Inc.

    Stephens Inc.
    Stephens Inc. Houston, United States

    3 weeks ago

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    Description

    ESSENTIAL DUTIES AND RESPONSIBILITIES

    • Educate and provide legal advice and guidance to internal clients on issues concerning investment advisers and other matters relevant to the firm's business, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and ERISA rules.
    • Review, negotiate and draft contracts and other legal documents as needed.
    • Manage and oversee outside counsel activities and budget.
    • Stay informed about changes in financial laws, regulations, and industry guidelines.
    • Lead the SIMG compliance program, including review and administration of compliance policies and procedures, and update new policies and procedures as needed to ensure adherence to state, federal and other laws that pertain to the firm's business and industry best practice.
    • Conduct periodic risk assessments of firm activities, testing compliance policies, controls and WSPs. Must be able to take appropriate steps to improve the effectiveness of programs, including training on SIMG policies and procedures and regulatory requirements.
    • Lead responses to regulatory inquiries, audits, examinations, and investigations, and liaise with regulators, including the U.S. Securities and Exchange Commission and State and other agencies, and respond to regulatory inquiries on a timely basis.
    • Assist with the performance of weekly, monthly and quarterly procedures undertaken to ensure portfolios are managed within regulatory guidelines, client guidelines and in accordance with firm policies and disclosures. Utilize and assist with maintaining the Charles River Development Compliance System in supporting contractual guidelines and restrictions.
    • Monitor fund compliance with the Investment Company Act of 1940, prepare materials and support requests and requirements of mutual fund Boards for several funds where the firm acts as sub-advisor.
    • Aggregation and reporting of information relating to Forms 13F, 13D, 13G.
    • Serve as adviser to GIPS, Valuation, Proxy, Best Execution and Soft Dollar committees
    • Manage key projects from the initiation and planning stages through execution and completion.
    • Handle email, advertising, and social media review.
    • Collaborate with the Stephens Inc. General Counsel and HR department as needed.
    EDUCATION AND/OR EXPERIENCE


    • Juris Doctorate (J.D.) required.
    • Maintain active bar license in at least one state.
    • 10+ years of related experience within the financial services and securities industries.
    • Extensive legal or compliance experience to oversee the regulatory requirements for an SEC registered investment adviser.
    • Experience with SEC examinations, annual reviews, risk assessments, email review and advertising review.
    • An equivalent combination of education, training or experience.
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