Senior Attorney, U.S. and Asia IA Matters

Position Summary

Reporting to TCW’s General Counsel, the Senior Attorney, U.S. and Asia IA Matters will support TCW’s business on general investment advisory-related matters arising in the U.S. and Asia,  including (i) negotiation and maintenance of IMAs and other investor agreements, (ii) maintenance of Form ADV for registered TCW investment advisory entities, (iii) coordinating required regulatory filings, including Forms 13F and 13G, and (iv) advising on investment and other issues arising under rules and regulations of the Securities and Exchange Commission (SEC), the Department of Labor (DOL), ERISA, and foreign regulatory bodies in Asia. 

This is a critical, hands-on, role in the firm and requires expert understanding of the full range of an investment advisor’s current and evolving legal and regulatory obligations in the U.S. and Asia.   It requires the incumbent to contribute as a working manager and be a team player in executing any tasks required.

Essential Duties

• Provide expert legal advice to TCW colleagues regarding U.S. and Asia laws and regulations relating to TCW’s asset management business.
• Support the TCW Asia offices (Japan, Singapore, Hong Kong, and Sydney) by advising on regional legal and regulatory matters.
• Maintain excellent relations with, and provide superb service to, TCW’s prospects, clients, and regulators.
• Supervise TCW paralegals preparing and submitting various regulatory filings, agreements, and reports.
• Stay current on legal and regulatory developments relevant to the investment management industry in the U.S. and Asia.
• Manage projects and support the Legal and Compliance teams, as necessary.
• Participate in various corporate committees, as appropriate.

Required Qualifications

• J.D. and member of the California bar
• A minimum of six years of legal experience
• Expert understanding of investment advisor regulation in the U.S.

Professional Skills Qualifications

• Demonstrates strong leadership and influencing skills
• Detail-oriented, organized and professional
• A self-starter who is capable of managing multiple projects and meeting deadlines
• Excellent interpersonal skills; demonstrated success in building and maintaining strong internal and external relationships
• Excellent communication and presentation skills
• Strong organizational and time management skills; ability to effectively identify and prioritize the most critical tasks
• A service-oriented attitude, responsive to the needs of the business
• Ability to work in a sophisticated legal environment
• Exercises good judgment and maintains strict confidentiality
• A team player and collaborates effectively across all levels of the organization

Desired Qualifications

The ideal candidate would also possess one or more of the following additional qualifications:

• Experience with international financial services regulatory regimes
• Experience with the SEC, DOL, and/or ERISA

Estimated Compensation:

Base Salary:  For CA based position, the base salary range is $240k to $300k.  This is an anticipated range only.

Other Compensation:  Eligible to be considered for an annual discretionary bonus

Benefits:  Eligible for TCW’s comprehensive benefits package. 

Salary : $240,000 - $300,000