Investment Management Attorney

ClearBridge Investments is a leading global equity manager with over $189 billion in assets under management. The firm is committed to delivering longterm results through active management. We have followed this approach for more than 60 years and continue to offer investment solutions that emphasize differentiated stock selection to move our clients forward. Our investment decisions are supported by a robust research platform that conducts indepth fundamental analysis of individual securities.

Owned by Franklin Templeton ClearBridge operates with investment independence from headquarters in New York and offices in Baltimore Calgary Fort Lauderdale London San Mateo and Sydney. ClearBridge Investments has been named by Pensions & Investments Magazine (P&I) as one of the Best Places to Work in Money Management for the thirteenth year in a row. These awards reflect the Firms diverse and inclusive culture spirit of collaboration work/life balance and our ongoing investment in our employees.

At ClearBridge we believe that diversity and inclusion is essential to our success as an organization. We benefit from the sharing of different perspectives and our varied experiences. ClearBridge is proud to be a diverse company that promotes integrity respect and teamwork and encourages new ideas and viewpoints. Our commitment to diversity and inclusion is demonstrated through our various recruitment efforts employee programs charitable and volunteer efforts.

Job Summary:

ClearBridge is seeking an Investment Management Attorney to join its New Yorkbased Legal and Compliance team. The Investment Management Attorney will be providing legal advice and guidance on various institutional and retail investment advisory matters and may engage in a variety of functions including negotiating investment advisory and subadvisory agreements and amendments; negotiating agreements with program sponsors for the firms retail separately managed accounts business; drafting and reviewing documents and disclosures related to registered and unregistered funds (U.S. and nonU.S. and subadvised funds; supporting legal filings such as Form ADV; reviewing and negotiating vendor agreements; and providing legal support and guidance on general corporate and governance matters and firmwide strategic initiatives.

Primary Responsibilities and Duties:
Regulatory Research and Guidance Research and provide wellreasoned concise counsel on legal and regulatory matters and risks associated with current proposed or anticipated business and operational activities balancing business/operationaloriented goals with legal risk. May also entail researching and providing guidance on legal regulatory and contractual matters relating to nonU.S. client opportunities and distribution efforts (including researching of foreign regulatory requirements and exemptions relating to sale of the firms products and services in nonU.S. markets).
Contract Negotiating and Drafting Handle all aspects of contract negotiations and drafting with both internal and external counterparties and clients. The types of contract work may include:

• Investment management agreements for institutional separate accounts.
• Wrap fee program sponsor and platform agreements (discretionary and nondiscretionary model delivery arrangements) relating to the firms retail SMA business
• Retail SMA agreements with end clients in dualcontract wrap fee arrangements.
• Subadvisory agreements for 40 Act mutual funds and nonUS funds and CITs.
• Vendor/service provider agreements.
• Nondisclosure/confidentiality agreements
• ISDA agreements and DoddFrank EMIR and the NFA/CFTC required documentation.

Disclosure Documentation Review draft or update as appropriate the following regulatory disclosures and offering documentation:

• Form ADV Part 1 Part 2A Disclosure Brochure Part 2B Brochure Supplements and Part 3 (Form CRS).
• U.S. Mutual Fund Prospectuses and SAIs.
• NonUS fund prospectuses or offering documents.
• Private Offering Memoranda limited partnership agreements and subscription documents relating to private fund offerings.
• Investment Policy Statements (IPS) Fund Declarations and Participation Agreements for Collective Investment Funds (CIFs).
• ERISA Form 5500 and Section 408(b)2 service provider disclosures
• Privacy Policy Notices.

Policies and Procedures Assist and advise the firms Compliance Group in updating drafting and interpretation of the firms policies and procedures adopted pursuant to the requirements of the Investment Advisers Act of 1940 and any other applicable statutes rules and regulations such as for example the Investment Company Act of 1940.
Responses to Information Requests Review and assist with drafting of responses to subadvised funds 15(c) or other client or prospective client requests for information.

Qualifications:

• Juris Doctorate (JD) from an accredited institution.
• Licensed to practice law and a member in good standing in the State of New York.
• Must work from the firms New York office.
• 5 years or related work experience inhouse position within asset management/securities industry a plus.
• Expert knowledge of the Investment Advisers Act of 1940 and strong understanding of the Securities Act of 1933 the Securities Exchange Act of 1934 and the Investment Company Act of 1940.
• Strong familiarity with the requirements and provisions of ERISA applicable to investment advisers.
• Knowledge/understanding of the NFA/CFTC and DoddFrank rules a plus.
• Prior experience negotiating investment advisory agreements subadvisory agreements and vendor agreements and drafting of regulatory disclosures is a must.
• Excellent legal analytical drafting and negotiation skills.
• Capable of working independently but with ability to recognize when to seek guidance in complex situations.
• Experience interacting with Investment Distribution Marketing Operations and Trading groups within institutional asset manager.
• Excellent interpersonal and verbal communication skills.
• Solutions oriented strategic thinker.
• Collaborative approach to understand and respond to business needs and partner with the various businesses operational and control functions.

Total Rewards

Our employees have access to a competitive and valuable set of Total Rewards. Our Total Rewards include:

• Hybrid work schedule; 4 days inoffice
• Health wellness and risk benefits to protect employees and their families
• Retirement savings stock purchase and other incentive programs to help employees plan for the future
• Holiday paidtimeoff and other employee programs that support worklife balance
• Support for pursuing certifications external education and degree programs
• Learning development and career advancement opportunities
• Ways to get involved in and give back to our communities including paid time off for volunteering and charitable donation matching
• The salary range for this position is targeted for $150000 to $200000 plus discretionary bonus. Base pay offered may vary depending on job related knowledge skills and experience

ClearBridge is an Equal Opportunity Employer. We are committed to equal employment opportunity for all applicants and existing employees and we evaluate qualified applicants without regard to ancestry age color disability genetic information gender gender identity or gender expression marital status medical condition military or veteran status national origin race religion sex sexual orientation and any other basis protected by federal state or local law ordinance or regulation.

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