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Nuveen Investments Senior Legal Counsel in SAN FRANCISCO, California

The Senior Legal Counsel of Symphony Asset Management will work closely with the General Counsel, Chief Compliance Officer, and Senior Management in providing legal support and advisory services to the Firm and its employees.

Symphony is a registered investment adviser and an indirect, wholly owned subsidiary of Nuveen. The job involves providing legal advice in a broad range of areas with an emphasis on the laws and regulations that govern a registered investment adviser. The candidate should have in-depth knowledge of, and the ability to oversee and advise on the adherence to legal and regulatory requirements in the various areas in which Symphony operates. The candidate should have a broad range of experience in working at an SEC registered investment adviser, ideally with broker dealer experience. A strong knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940 and other federal securities laws as well as issues relating to private/hedge funds is required. An understanding of credit related products, including CLOs is preferred.

Work with the General Counsel on providing legal advice on a day-to-day basis to both management and employees of the firm on any issues that may arise with the ability to analyze and solve problems together. He/She will also assist in structuring products and contract review. The candidate is expected to be hands on and detail oriented and not only become familiar with the firm’s legal and regulatory functions, but be involved in the Compliance Program, acting as legal advisor and a resource to the CCO. Together, they will advise on policies and procedures, risk management, testing, and surveillance and oversight functions.

Proactively work with Client Services, Operations, Accounting and the Investment teams on identifying and then resolving potential legal and regulatory issues. This resolution could include assisting the Chief Compliance Officer in drafting new policies and procedures, training, structuring products, etc.

Identification of issues in areas such as ERISA, MNPI, EU and other non US regulations, drafting disclosure language for, and reviewing marketing materials and private placements with an ability to analyze these issues not just from a legal perspective but also on a risk/liability basis.

Responsibilities include a broad range of investment adviser legal and regulatory matters, such as reviewing and negotiating ISDAs, Prime Brokerage, Total Return Swaps, Futures Merchant Agreements, RFPs, IT and Vendor Contracts, drafting, reviewing and interpreting fund documents as well as drafting and negotiating investment management agreements.

Work with Nuveen, TIAA and other affiliates’ legal personnel on policies and procedures and other matters as they arise.


The Candidate must be able to work effectively with different types of people and to tactfully but with authority say “no” when circumstances require. The importance of combining a broad knowledge of the business cannot be overemphasized as well as combining this knowledge with a practical approach to and the ability to analyze problems and structure solutions.


JD Degree, preferably from a top tier law school.

Seven or more years’ experience in the legal department of an investment management firm and or broker/dealer with experience dealing with legal and regulatory issues, the SEC, and contract review. Experience with Hedge and Private Funds, 40 Act Funds, credit instruments, bankruptcy rules, ERISA issues related to investment advisers, ISDAs, foreign regulatory initiatives and requirements, risk analysis, drafting policies and procedures and advising on corporate governance and employment issues are some of the areas in which experience is important, but not all are required.


Excellent communication skills, both verbal and written, and the ability to make complex issues understandable without relying on legalese. Detail oriented, well organized and flexible.

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Additional Information

  • Requisition ID: 1718683

Field: Legal, Compliance, & Risk

Company: Nuveen

Post Date: Apr 10, 2019