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About Rockefeller Capital Management:
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Rockefeller Capital Management is a leading independent financial advisory firm – providing wealth management, asset management, and strategic advisory services to ultra- and high-net-worth individuals, families, businesses, and institutions. Led by President & CEO Gregory J. Fleming, the firm offers an elevated experience based on traditional Rockefeller global family office values of excellence and service.
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<br> Formed in 2018 following the acquisition of Rockefeller & Co., Inc., the firm is rapidly extending its historic brand into contemporary markets. Based in New York City, it has over forty offices in the United States and London and oversees some $112 billion in client assets.
</div> Position:
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Rockefeller Capital Management’s Investment Solutions Group is responsible for the suite of investment products offered on our Rockefeller Global Family Office platform, which provides access to best-in-class managers and strategies, including capital markets products, structured products and solutions, and alternative investments.
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<br> The Counsel, Investment Solutions Group will provide comprehensive, dedicated coverage to the Firm’s Investment Solutions Group, with a focus on alternative investments, in particular. In this role, the Counsel will provide legal support in connection with the Investment Solutions Group’s sourcing, diligence, and distribution of various investment products, including registered funds, private funds, direct investments, and structured products.
</div> Responsibilities:
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The Counsel will draft, review, and negotiate a range of documents, ensuring that all legal documentation is compliant with current laws and regulations, properly reflects the interests of the firm and its clients, and effectively manages risk. Such documents include:
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<li> Fund Formation and Offering Documents, including private placement memoranda and supplements; subscription agreements; limited partnership agreements; operating agreements for limited liability companies; and prospectuses and supplements for registered investment funds.</li>
<li> Investment Management Agreements, including agreements between the firm and external investment managers or advisors.</li>
<li> Broker-Dealer Selling Agreements relating to investment management, structured products, and other products.</li>
<li> Service Provider Contracts, including agreements with feeder fund managers, custodians, administrators, auditors, and other service providers.</li>
<li> Regulatory Compliance Documents, including disclosures in SEC filings, such as Form ADV and the Firm’s Customer Relationship Brochures; compliance and supervisory policies and procedures documentation; and anti-Money Laundering (AML) and Know Your Customer (KYC) compliance documents.</li>
<li> Due Diligence Documentation, including legal reviews of investment opportunities and documentation related to due diligence on other investment products and services.</li>
<li> Client Agreements, including disclosures and consent forms.</li>
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In addition, the Counsel will also:
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<li> Advise on corporate governance, investor relations, fund raising (including marketing materials) and investment activities.</li>
<li> Coordinate with external legal advisors when necessary.</li>
<li> Collaborate with internal teams to support business, supervisory, compliance, and risk-management objectives.</li>
<li> Stay updated with legal and regulatory developments affecting the wealth management and investment industry.</li>
</ul> Qualifications:
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<li>Juris Doctor (JD) from an accredited law school.</li>
<li> Admission to the New York State Bar.</li>
<li> 3-4 years of relevant legal experience in a major law firm or in-house legal department, with a focus on investment management, financial services, or related fields.</li>
<li> Strong knowledge of the legal framework governing investment products.</li>
</ul> Compensation Range:
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The anticipated base salary range for this role is $225,000 - $275,000. Base salary for the role will depend on several factors, including a candidate’s qualifications, skills, competencies, and experience, and may fall outside of the range shown. In addition, this role may be eligible for a discretionary bonus. Rockefeller Capital Management offers a comprehensive benefit package including health coverage, vacation time, paid leave, retirement plan, and more. Visit careers.rockco.com to learn more about additional opportunities and benefits offerings.
</div> Disclosure:
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Rockefeller & Co. LLC, Rockefeller Financial LLC, Rockefeller Trust Company, N.A., The Rockefeller Trust Company (Delaware), Rockefeller Financial Services, Inc. and all other subsidiaries of Rockefeller Capital Management L.P. (individually and collectively, “Rockefeller”) is an equal opportunity employer and does not discriminate on the basis of race, religion, sex, gender, sexual orientation, gender identity or expression, national origin, citizenship, age, military or veteran status, marital or partnership status, caregiver status, legally recognized disability, or any other basis protected by applicable federal, state or local law (“protected characteristics”).
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<br> Rockefeller Capital Management participates in the E-Verify program in certain locations, as required by law.
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