CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
* Provide legal support for the Wealth Management business (" WM Business "), primarily the funds business (which includes mutual funds, hedge funds and private equity funds). * Development of standard client documentation to support the WM Business. * Identify, assess, manage, monitor, mitigate and report legal risks and issues in the WM Business. * Promote the culture and practice of organisational compliance / conduct of business in accordance with legal standards within the Bank. * Maintain close relationships with WM business heads and product managers, and liaise with them in adopting global template documents. * Support the strategic intent and priorities of the Legal function and the Bank Group, including by close liaison and mutual support from and with other parts of the Legal function, relevant businesses and functional groups, as required.
Key Roles and Responsibilities
Strategy and Culture * Maintain close relationships with WM business heads and product managers, and liaise with them in adopting global standard documentation, particularly for the funds business. * Promote the culture and practice of compliance with legal standards (including conducting business within legal and regulatory requirements, and to high ethical standards) within the Bank and embed a Here for Good culture and the Group Code of Conduct. * Develop thought leadership capability - as demonstrated by visibility within the Bank, and as a point of contact for WM Business.
WM Business Advisory and Transactional Support * Develop and implement global standards and initiatives for legal matters in relation to the WM Business, focusing on the funds business. * Support WM Business and drive operational efficiencies/improvements. * Ensure that the global standard documentation is fit for purpose. * Oversee external counsel engagement, if necessary.
Governance * Within the Bank Group's overall Risk Management Framework, contribute to the establishment and maintaining of appropriate risk based legal frameworks for identifying, assessing, managing, monitoring, mitigating and reporting legal risks across WM Business. * Contribute to development of appropriate legal policies and procedures. * Contribute to ensuring appropriate product governance measures are in place so that product approval documents reflect all relevant legal requirements for WM Business. * Contribute to establishing and maintaining of effective processes (including training, advice and support) to ensure that policies, procedures and standards to address legal are effectively implemented across WM Business. * Ensure that policies, procedures and standards to address legal risks are effectively implemented across WM Business via early socialization with stakeholders in procedure design/parameters, ratification by appropriate committees, and ensuring corresponding appropriate communication and training across footprint. * Provide support to the Bank's senior management to ensure that they establish and monitor appropriate processes for compliance with legal policies, procedures and standards (including meeting legal obligations and maintaining high standards of conduct). * Ensure effective management of legal matters across WM Business. * Assist in the provision of reports to relevant Bank Group and WM Business risk and control committees and management group on key legal risks and issues where required.