Western & Southern Financial Group
Counsel - Investments & Securities
Western & Southern Financial Group, Cincinnati, Ohio, United States, 45208
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Join Western & Southern – Somewhere You Want to Be At Western & Southern, is somewhere to grow, lead, win and do good for others. Our supportive culture, continuous learning opportunities and connection to our local communities make our company the ideal place for a career. For more than 135 years, our long-term success is fueled by a deep commitment to customer service and our community. Ranked #29 on the American Opportunity Index (AOI), Western & Southern is among the top 100 companies for career growth. We are dedicated to empowering our associates and helping them maximize their talents. We take pride in our award-winning talent development team and our recognition as a Top 10 Military Friendly Employer and Top Spouse Employer. Our Culture: Excellence and Collaboration Western & Southern is built on a culture of integrity, top-notch performance, teamwork and collaboration. We’re committed to hiring and developing professionals who strive for excellence, demonstrate strong ethics and make fact-based decisions. Our associates are empowered to chase their career dreams while being supported every step of the way. A Day in the Life of a Counsel – Investments & Securities The Counsel - Investments will serve as the primary legal counsel to Fort Washington Investment Advisors ("FWIA") on transactional, securities and regulatory matters relating to the registration and operation of the investment advisor and compliance with Investment Advisors Act of 1940, and associated rules. Duties include providing advice and legal support to FWIA's Private Equity and Private Debt strategies, including fund formation; compliance with Securities Act of 1933, and associated rules; structured finance/CLOs; fundraising and marketing; SEC compliance; and other investment transactions and fund operation activities. Duties and Responsibilities: Advises FWIA investment teams on private equity, private debt, private placements, and other fixed income and equity investments with little direction or supervision. Advises FWIA on private fund formation, securities law compliance, registration statements and other SEC filings, and related fundraising and investment activity. Advises FWIA management and CCO on all legal matters with little direction or supervision. Supports FWIA on (i) development of compliance programs; (ii) review of numerous types of external client and marketing communications; (iii) response to any regulatory exams or inquiries; and (iv) SEC and other regulatory filing requirements. Desired Competencies and Skills: Juris Doctor (JD) degree from an accredited law school. Substantial experience (5+ years following law school) in the role of Counsel or equivalent in title and experience handling complex investment transactions, investment advisor regulatory matters and/or other corporate projects. Comprehensive knowledge of securities laws. Bar Admission License to practice law in Ohio (or ability to obtain license in Ohio) Upon Hire. Premier Benefits to Support YOU We offer a comprehensive benefits package, including: Medical, dental, vision, and life insurance. 401(k) savings plan with pension options. Paid time off increasing with tenure. Tuition reimbursement and individualized career development plans. Parental leave and maternity leave with a 4-week transition back to work. Access to on-site amenities like a fitness center, cafeteria and more. Extensive employee discount program. Western & Southern is not just a place to work—it’s somewhere to grow, lead, win and make a difference in your career and community. Learn more at
www.westernsouthern.com/careers/home-office-careers . Seniority level
Associate Employment type
Full-time Job function
Legal Industries
Financial Services and Investment Management
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Join Western & Southern – Somewhere You Want to Be At Western & Southern, is somewhere to grow, lead, win and do good for others. Our supportive culture, continuous learning opportunities and connection to our local communities make our company the ideal place for a career. For more than 135 years, our long-term success is fueled by a deep commitment to customer service and our community. Ranked #29 on the American Opportunity Index (AOI), Western & Southern is among the top 100 companies for career growth. We are dedicated to empowering our associates and helping them maximize their talents. We take pride in our award-winning talent development team and our recognition as a Top 10 Military Friendly Employer and Top Spouse Employer. Our Culture: Excellence and Collaboration Western & Southern is built on a culture of integrity, top-notch performance, teamwork and collaboration. We’re committed to hiring and developing professionals who strive for excellence, demonstrate strong ethics and make fact-based decisions. Our associates are empowered to chase their career dreams while being supported every step of the way. A Day in the Life of a Counsel – Investments & Securities The Counsel - Investments will serve as the primary legal counsel to Fort Washington Investment Advisors ("FWIA") on transactional, securities and regulatory matters relating to the registration and operation of the investment advisor and compliance with Investment Advisors Act of 1940, and associated rules. Duties include providing advice and legal support to FWIA's Private Equity and Private Debt strategies, including fund formation; compliance with Securities Act of 1933, and associated rules; structured finance/CLOs; fundraising and marketing; SEC compliance; and other investment transactions and fund operation activities. Duties and Responsibilities: Advises FWIA investment teams on private equity, private debt, private placements, and other fixed income and equity investments with little direction or supervision. Advises FWIA on private fund formation, securities law compliance, registration statements and other SEC filings, and related fundraising and investment activity. Advises FWIA management and CCO on all legal matters with little direction or supervision. Supports FWIA on (i) development of compliance programs; (ii) review of numerous types of external client and marketing communications; (iii) response to any regulatory exams or inquiries; and (iv) SEC and other regulatory filing requirements. Desired Competencies and Skills: Juris Doctor (JD) degree from an accredited law school. Substantial experience (5+ years following law school) in the role of Counsel or equivalent in title and experience handling complex investment transactions, investment advisor regulatory matters and/or other corporate projects. Comprehensive knowledge of securities laws. Bar Admission License to practice law in Ohio (or ability to obtain license in Ohio) Upon Hire. Premier Benefits to Support YOU We offer a comprehensive benefits package, including: Medical, dental, vision, and life insurance. 401(k) savings plan with pension options. Paid time off increasing with tenure. Tuition reimbursement and individualized career development plans. Parental leave and maternity leave with a 4-week transition back to work. Access to on-site amenities like a fitness center, cafeteria and more. Extensive employee discount program. Western & Southern is not just a place to work—it’s somewhere to grow, lead, win and make a difference in your career and community. Learn more at
www.westernsouthern.com/careers/home-office-careers . Seniority level
Associate Employment type
Full-time Job function
Legal Industries
Financial Services and Investment Management
#J-18808-Ljbffr