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Company: Capital One
Position: Director, Assistant General Counsel, Investment Adviser Regulatory Counsel
Location: McLean, VA & New York, NY

Description: The Capital One Legal Department has created a new role for an attorney for its registered investment adviser, United Income. We are looking for someone to provide expert legal advice to United Income’s investment management team in a fast-paced environment. If you are the successful candidate, you will work closely and proactively with the business to identify legal and reputational risks, advise how to comply with applicable laws and regulations, deliver grounded legal risk assessments and provide thoughtful, creative and practical risk solutions and recommendations to support business strategies.

You will engage with senior leadership and interact with all levels of management and associates from multiple areas. Key internal customers, stakeholders and partners include senior leadership within the business unit, the compliance department and the business risk office. You also will regularly engage and collaborate with other teams and subject matter experts within the Capital One Legal Department.

This position will report to United Income’s Chief Counsel, and will have responsibility for:

  • Providing legal and strategic advice to United Income related to complex issues under the Investment Advisers Act of 1940 and ERISA
  • Providing legal support for existing investment models, products and services including assessing the impact of regulatory changes     
  • Actively advising on the creation of new financial product offerings and services
  • Providing legal support for United Income’s digital platform including algorithmic trading and operational functions
  • Providing legal support and working closely with the Legal Department’s Enterprise Regulatory Advisory Group regarding impacts of proposed laws and regulations as well as applicability and impacts associated with newly enacted laws and regulations 
  • Managing the engagement of outside counsel to assist on projects when necessary
  • Participating in regulatory examinations and preparing responses for inquiries relating to investment advisory processes and procedures; collaborating with appropriate stakeholders to develop and implement any necessary remediation plans  
  • Assisting with various legal duties and/or projects including legal regulatory matters and legislative developments
  • Some travel may be necessary 

Our ideal candidate will have the following skills and experience:

  • Apply structured, logical thinking to analyze issues, answer inquiries, evaluate risks and solve problems in an integrated way relative to applicable laws, rules, regulations and precedents
  • Build collegial and effective relationships with business partners
  • Prioritize effectively and manage a significant volume of legal questions on a broad array of topics with multiple and simultaneous deadlines
  • Rapidly synthesize new information and make quick, well-grounded decisions
  • Balance the needs of the business unit with a broader understanding of the objectives of Capital One as a whole
  • Lead, oversee and complete projects with minimal direction
  • Strong oral and written communication skills, including the ability to communicate detailed and complex information to others at all levels of the enterprise


Basic Qualifications: 

  • Juris Doctorate from an accredited law school
  • Active member in good standing of at least one state bar
  • At least 7 years of law firm or in-house counsel experience with a focus on the Investment Advisers Act of 1940

Preferred Qualifications: 

10+ years of law firm or in-house counsel experience advising federally registered investment advisers with a focus on investment management and digital advice platforms

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

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