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About the Role

This counsel will assist with the day-to-day legal needs for the firm’s global investments function with an emphasis on initiatives relating to proprietary exchange-traded funds (ETFs). Work will include advising on federal, state and international securities laws and related compliance matters. This position will report to the Deputy General Counsel and Vice President that acts as the primary legal liaison for the firm’s global investments function.

Responsibilities

Support the offering and operation of proprietary ETFs, including serving as the day-to-day legal contact for capital markets, listing ETFs, negotiating agreements, reviewing compliance policies, and coordinating with legal team members for board meetings and registration filings.
Support the firm’s portfolio management group by analyzing U.S. and international law, assisting risk management and compliance groups, and coordinating with business groups on portfolio management initiatives.
Review and analyze policies and procedures in the fund companies’ 38a-1 compliance program and the adviser’s 206(4)-7 compliance program.
Analyze legal requirements relating to substantial shareholder filings and corporate action elections.
Prepare and present materials such as memoranda, agendas, and meeting minutes for internal, committee, or Board of Directors meetings.
Work with and oversee outside counsel on legal matters, ensuring service delivery and cost standards are met.

Requirements

4-10 years of practice in a top-tier law firm or in-house with a mutual fund/ETF complex, investment adviser, financial intermediary or other business focusing on ETF/fund, investment adviser, financial intermediary, or securities regulation issues.
Knowledge of ETF structure and operation, portfolio management processes, and federal securities laws, including the Investment Company Act of 1940 and Investment Advisers Act of 1940.
JD from a top law school.
Member of a US state bar.
Detail oriented, organized and professional.
Very strong communication skills (oral and written), with the ability to translate complex legal concepts into practical advice.
Able to work well in a team environment, but also be a self-starter capable of handling multiple projects, managing changing business priorities, and meeting deadlines.
Technical fluency, including proficiency with Microsoft Office Suite & other legal technology (ebilling, legal document repository, legal research tools), and a willingness to learn new technologies.
This role is not eligible for immigration sponsorship.

Skills

Microsoft Office Suite
Ebilling software
Legal document repository software
Legal research tools

Location

Hybrid

Work Type

Hybrid

Experience Level

4-10 years

Education Level

JD from a top law school

Benefits

Comprehensive benefits
Educational initiatives
Special celebrations of our history, culture, and growth

About the Company

Dimensional's Legal division is an in-house team of client-focused attorneys, paralegals, and legal assistants who partner with internal and external teams to help provide legal expertise across business functions, legal systems, and jurisdictions.

Equal Opportunity

It is the policy of the Company to provide equal opportunity for all employees and applicants. The Company recruits, hires, trains, promotes, compensates, and administers all personnel actions without regard to actual or perceived race, color, religion, religious practice, creed, sex, sex stereotyping, pregnancy (which includes pregnancy, childbirth, and medical conditions related to pregnancy, childbirth, or breastfeeding), caregiver status, gender, gender identity, gender expression, transgender identity, national origin, age, mental or physical disability, ancestry, medical condition, marital status, familial status, domestic partnership status, military or veteran status or service, unemployment status, citizenship status or alienage, sexual orientation, status as a victim of domestic violence, status as a victim of stalking, status as a victim of sex offenses, genetic information, political activities or recreational activities, arrest or conviction record, salary history, natural hairstyle or any other status protected by applicable law except as otherwise required or permitted by law or regulation applicable to the Company or its affiliates.