In-house solicitor (Asset Management)

Nomura Asset Management
04 Apr 2018
02 May 2018
Contract Type
Full Time

Nomura Asset Management (NAM) has approximately 100 employees based in its London office (EMEA headquarters) with a team of four people working within the Compliance Department. NAM provides its clients with a wide range of innovative investment strategies including global, regional and single country equities, high yield bonds, alternative investments and global fixed income strategies.

The role is based within the Compliance Department which has a wide remit and covers areas such as FCA and SEC regulation, operational risk management, internal audit and legal. The team work closely with the Marketing and Client Service Department, Trading and Portfolio Administration teams in London and many areas of the Nomura Asset Management Group in Tokyo, Singapore, Hong Kong and New York.

This role is to oversee NAM UK's commercial and fund agreements together with providing legal guidance on business issues.

Role/Principal Accountabilities:

  • Review and negotiate a wide range of commercial and fund agreements (which may be intra-group and/or third party), including, but not limited to:
  • International distribution agreements for our UCITS fund range
  • Broker terms of business documentation
  • Investment Management Agreements and fund agreements
  • ISDAs and CSAs for a variety of different client and instrument types
  • CCP OTC clearing documentation
  • Other commercial agreements such as system, data and other service providers, introducer and client support services, property related service agreements and insurance
    • Provide legal advice and guidance, and respond to a variety of legal queries raised from the business.

Skills & Experience Required:

  • Investment management experience is highly preferable as the candidate will quickly need to learn about the nature of the business, the role NAM UK performs for its clients and where it fits into 'the bigger picture' alongside various counterparties. Experience working in the legal team of a broader financial services firm (e.g. investment banking) is required as a minimum.
  • The selected candidate must have their own professional indemnity insurance
  • Be approachable and flexible in exposure to a variety of duties and deadlines; able to manage their own time and priorities.
  • Be able to communicate on all levels, verbally and in written communications/reports.

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