Associate Attorney

Location Dallas
Date Posted October 29, 2019
Job ID 10165
Employment Type Direct Hire

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Job Description:

We are assisting our Dallas, TX client in a search for an Associate Attorney. The Associate Attorney supports the chief legal officer in establishing legal practices, advising on legalities and managing litigation regarding alternative the purchase, ownership and selling of alternative assets and l-Bonds. The ability to quickly get up to speed, and to manage multiple and varied responsibilities is essential.


  • Prepare, review and supervise the preparation of Securities Exchange Commission and other regulatory filings and investor/shareholder communications (including prospectuses, 10-K, 10-Q, 8-K, S-1, Form 4s, proxy materials, etc.) to ensure that all requirements and timelines are met.
  • Manage external lawyers and internal sales support personnel in the production and compliant distribution of sales and SEC materials.
  • Manage the Company’s Annual Shareholder Meeting and associated proxy and other materials including items requiring shareholder voting.
  • Manage relationship with its managing broker dealer in relation to the compliant sales and marketing of the Company’s investment products.
  • Assist on regulatory examinations and inquiries as necessary.
  • Board of Directors and Board Committees:
    • Prepare and review charters and membership of all Committees.
    • Oversee all aspects of the planning, preparation and execution of Board meetings.
    • Draft and review Board meeting materials, including agendas, meeting notices, cover letters, resolutions and all other corporate governance documentation.
    • Attend Board and Committee meetings and present as necessary. Draft, circulate and resolve comments to Board and Committee meeting minutes in a timely fashion.
    • Resolve routine comments on Board materials from in-house counsel, auditors and other reviewers.
  • Draft and negotiate various Company contracts and agreements. Manage Company transactions such as financing arrangements, investment opportunities, etc.
  • Review marketing materials, update disclosure language, and provide guidance to internal team.
  • Manage litigation, update corporate insurance policies annually, and provide guidance on the Company’s charitable foundation.
  • Responsible for the annual review and renewal of Company policies.
  • Supervisory Responsibility: This position is responsible for managing the Senior Paralegal.


  • Must be licensed to practice law in Texas
  • 1 – 5 years of experience required. Financial Services industry experience a plus.
  • Strong verbal and written communication skills are required.
  • Must have strong logical reasoning and analytical ability.
  • Must be able to work well with others on a team.
  • Highly organized, ability to work in high pressured environment and detail-oriented.

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