Corporate and Securities Attorney

Cascade Asset Management Company•Kirkland, WA

2d•$300,000 - $325,000•Onsite

About The Position

Cascade Asset Management Company ("Cascade") is the private investment firm that manages a multi-billion-dollar portfolio on behalf of Bill Gates and the Gates Foundation Trust. Cascade's mission is to generate superior long-term returns to support and advance the vital work of Mr. Gates and the Gates Foundation. Led by the same Chief Investment Officer for more than 30 years, Cascade has built a strong track record through a fundamental, long-horizon investment approach. Cascade invests across asset classes and geographies, primarily through direct investments, as well as a select group of funds and segregated accounts. Cascade is headquartered in the Seattle, Washington area. Our Legal and Regulatory team prioritizes collaboration, creativity, innovation, and the ability to scale our activities to achieve efficiency and effectiveness. In addition to providing superb legal advice, our team focuses on building deep relationships to add value to our investment process. This is a great opportunity for you if you are a hands-on professional looking to make an immediate impact. You will join our legal team and, as a part of the Securities, Trading and Regulatory group, you will provide legal support to a complex portfolio of global assets. Your primary responsibilities will include advising our investment team on the legal, regulatory, and compliance issues affecting a wide array of investment transactions and identifying and monitoring complex legal and regulatory developments across multiple asset classes and jurisdictions. The role also supports the legal and operational infrastructure for Cascadeâ€™s trading activity, including negotiating documentation, managing broker and counterparty relationships, and addressing custody, derivatives, market infrastructure, and other trading-related issues.

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 Cascadeâ€™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