Corporate and Securities Attorney

Cascade Asset Management Company•Kirkland, WA

14h•Onsite

About The Position

Cascade Asset Management Company is seeking a Corporate and Securities Attorney to join its Legal and Regulatory team. This role will provide legal support to a complex portfolio of global assets, focusing on securities, trading, and regulatory matters. The attorney will advise the investment team on legal, regulatory, and compliance issues related to various investment transactions, monitor legal and regulatory developments, and support the legal and operational infrastructure for Cascade’s trading activity. This includes negotiating documentation, managing broker and counterparty relationships, and addressing issues related to custody, derivatives, and market infrastructure. The position is ideal for a hands-on professional looking to make an immediate impact in a collaborative environment that values innovation and continuous learning.

Requirements

J.D. degree, with at least 6 years of relevant experience.
Excellent legal training and judgment, including significant law firm experience.
Substantive knowledge of laws and regulations applicable to securities and other investment products, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, and others.
Substantive knowledge of other regulatory issues relevant to a complex global portfolio (e.g., HSR, FCPA, industry regulations, etc.).
Experience analyzing issues with a holistic perspective and a commercial approach.
Ability to foster and maintain valued and respected relationships both internally and externally at all levels, and to cultivate a positive and productive team dynamic.
Exemplary written and oral communication skills, with the ability to succinctly translate legal principles into practical and actionable business use.
Intellectual curiosity, with a growth mindset and eagerness to stretch outside your comfort zone, learn new areas of expertise, and broaden your skillset.
Problem solver who takes initiative in looking over the horizon in anticipation of opportunities, new developments, and challenges.
Highly collaborative, with the flexibility to take on stretch assignments and the humility to thoughtfully execute less glamorous assignments.
Gifted at navigating ambiguity.
Highest levels of professionalism and integrity.
Upon hire, you are required to present proof of your eligibility to legally work in the U.S.

Nice To Haves

In-house experience with an investment organization or public company is a strong plus.
Experience advising on trading, market structure, broker or counterparty relationships, custody, derivatives, or other trading-related operational issues is a strong plus.
Curiosity about emerging technologies, including AI, and an eagerness to apply them thoughtfully and responsibly in a legal environment.

Responsibilities

Closely partner with Cascade’s investment team to provide strategic, holistic, and portfolio-informed advice with respect to public and private investments in multiple industries and jurisdictions worldwide, including minority and controlling interests in operating companies and funds.
Develop an in-depth understanding of our portfolio and operations to deliver cross-functional solutions across a range of complex global rules and regulations.
Analyze and prepare U.S. filings, including Schedules 13D/G, Form 13F, Form 13H, Forms 3, 4, and 5, Form 144, and Hart-Scott-Rodino Premerger Notification and Report Form, as well as comparable foreign filings.
Analyze and address MNPI concerns and manage our employee trading policy.
Analyze and address public company governance matters, including D&O questionnaires and related disclosures.
Monitor public company positions for ownership thresholds, disclosure obligations, trading windows, and other issuer- or security-specific restrictions.
Partner with the trading desk and investment services team on day-to-day trade support, including pre-trade issue spotting, trade-clearing, trading restrictions, and post-trade legal and regulatory follow-up.
Design, maintain, and improve internal tools, processes, and reference materials used to support trading and public company portfolio monitoring, including restricted trading lists, legal watch lists, portfolio reports, and order-management system restrictions or warnings.
Proactively identify key regulatory changes and developments that could impact our activities/portfolio and develop strategies to mitigate legal and regulatory risk.
Contribute to the modernization of legal team workflows, including by identifying practical opportunities to use AI-enabled tools and other technology to improve efficiency, consistency, and access to legal knowledge.
Collaborate internally with the legal, investment, performance, operations, tax, and accounting teams and externally with outside counsel and other partners to develop innovative and thoughtful solutions to challenges arising in managing a global portfolio.
Review, draft, and negotiate commercial agreements.
Lead or participate in cross-functional internal projects.