Counsel - Investments & Securities

Western & Southern Financial Group; Cincinnati (OH); On-site; USD 70,000 - 110,000; Full time

Benefits offered by this job

Medical, dental, vision, and life insurance

401(k) savings plan with pension options

Paid time off increasing with tenure

Tuition reimbursement

Parental and maternity leave

Access to on-site amenities

Extensive employee discount program

Job summary

An established industry player is seeking a Counsel for Investments & Securities to join their dynamic legal team. This role involves providing expert legal advice on complex investment transactions, ensuring compliance with securities laws, and supporting the investment teams in navigating regulatory requirements. The company fosters a culture of excellence, collaboration, and continuous learning, making it an ideal environment for professionals looking to grow their careers. With a commitment to community and employee development, this position offers a unique opportunity to make a significant impact while advancing in a rewarding career path.

Qualifications

• 5+ years of experience in legal counsel focusing on investment transactions.
• Comprehensive knowledge of securities laws and compliance.

Responsibilities

• Provide legal counsel on investment transactions and regulatory matters.
• Advise on fund formation and SEC compliance with minimal supervision.

Skills

Legal Advisory

Securities Law Compliance

Investment Transactions

Private Equity Knowledge

Corporate Law

Education

Juris Doctor (JD)

Job description

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Join Western & Southern – Somewhere You Want to Be

At Western & Southern, is somewhere to grow, lead, win and do good for others. Our supportive culture, continuous learning opportunities and connection to our local communities make our company the ideal place for a career. For more than 135 years, our long-term success is fueled by a deep commitment to customer service and our community.

Ranked #29 on the American Opportunity Index (AOI), Western & Southern is among the top 100 companies for career growth. We are dedicated to empowering our associates and helping them maximize their talents. We take pride in our award-winning talent development team and our recognition as a Top 10 Military Friendly Employer and Top Spouse Employer.

Our Culture: Excellence and Collaboration

Western & Southern is built on a culture of integrity, top-notch performance, teamwork and collaboration. We’re committed to hiring and developing professionals who strive for excellence, demonstrate strong ethics and make fact-based decisions. Our associates are empowered to chase their career dreams while being supported every step of the way.

A Day in the Life of a Counsel – Investments & Securities

The Counsel - Investments will serve as the primary legal counsel to Fort Washington Investment Advisors ("FWIA") on transactional, securities and regulatory matters relating to the registration and operation of the investment advisor and compliance with Investment Advisors Act of 1940, and associated rules. Duties include providing advice and legal support to FWIA's Private Equity and Private Debt strategies, including fund formation; compliance with Securities Act of 1933, and associated rules; structured finance/CLOs; fundraising and marketing; SEC compliance; and other investment transactions and fund operation activities.

Duties and Responsibilities:

• Advises FWIA investment teams on private equity, private debt, private placements, and other fixed income and equity investments with little direction or supervision.
• Advises FWIA on private fund formation, securities law compliance, registration statements and other SEC filings, and related fundraising and investment activity.
• Advises FWIA management and CCO on all legal matters with little direction or supervision.
• Supports FWIA on (i) development of compliance programs; (ii) review of numerous types of external client and marketing communications; (iii) response to any regulatory exams or inquiries; and (iv) SEC and other regulatory filing requirements.

Desired Competencies and Skills:

• Juris Doctor (JD) degree from an accredited law school.
• Substantial experience (5+ years following law school) in the role of Counsel or equivalent in title and experience handling complex investment transactions, investment advisor regulatory matters and/or other corporate projects.
• Comprehensive knowledge of securities laws.
• Bar Admission License to practice law in Ohio (or ability to obtain license in Ohio) Upon Hire.

Premier Benefits to Support YOU

We offer a comprehensive benefits package, including:

• Medical, dental, vision, and life insurance.
• 401(k) savings plan with pension options.
• Paid time off increasing with tenure.
• Tuition reimbursement and individualized career development plans.
• Parental leave and maternity leave with a 4-week transition back to work.
• Access to on-site amenities like a fitness center, cafeteria and more.
• Extensive employee discount program.

Western & Southern is not just a place to work—it’s somewhere to grow, lead, win and make a difference in your career and community. Learn more at www.westernsouthern.com/careers/home-office-careers.

Seniority level

Associate

Employment type

Full-time

Job function

Legal

Industries

Financial Services and Investment Management