Overview

Rockefeller Capital Management is a leading independent financial services firm led by President & Chief Executive Officer Gregory J. Fleming, offering global family office, wealth management, asset management and strategic advisory services to ultrahigh-net-worth individuals, families, institutions, and corporations.

Rockefeller Capital Management launched in March 2018 following the acquisition of Rockefeller & Co., Inc., the legacy Rockefeller family private investment office. Our firm is built upon the 136-year history of excellence in global family office and investment management of the Rockefeller family.

The firm oversees in excess of $45 billion of client assets. Headquartered in New York City, the Firm also has offices in Atlanta, Boca Raton, Boston, Dallas, Los Angeles, Mountain View, Philadelphia, Salt Lake City, San Francisco, Saratoga Springs, Washington, DC, and Wilmington, DE.

BROAD FUNCTION AND SCOPE OF THE POSITION

The Associate Counsel is responsible for providing legal advice and support to the firms Asset Management and Family Office business units, and for ensuring that these businesses operate in accordance with various legal parameters. The Associate Counsel will partner with members of the legal team and others across Rockefeller Capital Management on governance, regulations, contracting, transactions, and other business-related matters.

POSITION RESPONSIBILITIES

Provides legal advice on matters related to the Investment Advisers Act of 1940, the Investment Company Act of 1940 and cross-border regulatory issues.

Develops and implements policies and procedures aligned with applicable regulations for the firms advisory and asset management businesses.

Assists in responding to regulatory exams, external and internal audits and annual compliance reviews and risk assessments.

Drafts, reviews, and negotiates complex financial transactions and agreements including agreements for advisory clients and derivative transactions.

Partners with investment personnel and outside counsel on matters related to the formation, offering and operations of investment products including registered investment companies, alternative investment products and non-U.S. investment funds.

Liaises with other business areas to provide legal assistance and support regarding strategic regulatory issues and legislative matters.

POSITION QUALIFICATIONS

Education:

JD from a top tier law school

Experience:

3+ years of prior legal experience at a top law firm

Strong knowledge of Investment Advisers Act of 1940 and the Investment Company Act of 1940

Experience with both US and non-US products and registered and unregistered funds preferred

Experience with hedge funds, including legal expertise on derivatives and short selling, preferred

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