Senior Attorney, Investment Advisory & Company Matters

Reporting to TCW's General Counsel, the Senior Attorney, Investment Advisory & Investment Company Matters will have dual roles supporting (1) TCW's business on general investment advisory-related matters arising in the U.S. and Asia, and (2) TCW's growing registered products investment management business.

The investment advisory-related work includes (i) negotiation and maintenance of IMAs and other investor agreements, (ii) maintenance of Form ADV for registered TCW investment advisory entities, (iii) coordinating required regulatory filings, including Forms 13F and 13G, and (iv) advising on investment and other issues arising under rules and regulations of the Securities and Exchange Commission (SEC), the Department of Labor (DOL), ERISA, and foreign regulatory bodies in Asia.

The investment management-related work includes support of TCW's registered mutual funds and ETFs, including (i) product development, (ii) board support, (iii) preparation and review of regulatory filings, (iv) regulation and related compliance support, and (v) support for the internal and external administration and operations teams providing services to TCW's mutual funds and ETFs.

This is a critical, hands-on, role in the firm and requires expert understanding of the full range of an investment advisor's current and evolving legal and regulatory obligations in the U.S. and Asia and working knowledge of the Investment Company Act of 1940. It requires the incumbent to contribute as a working manager and be a team player in executing any tasks required.

Provide expert legal advice to TCW colleagues regarding S. and Asia laws and regulations relating to TCW's asset management and U.S. registered products businesses.
• Support the TCW Asia offices (Japan, Singapore, Hong Kong, and Sydney) by advising on regional legal and regulatory matters.
• Support all aspects of TCW's registered products, with a focus on board meeting materials and regulatory filings.
• Maintain excellent relations with, and provide superb service to, TCW's prospects, clients, and regulators.
• Supervise TCW paralegals preparing and submitting various regulatory filings, agreements, and reports.
• Stay current on legal and regulatory developments relevant to the investment management industry in the U.S. and Asia.
• Manage projects and support the Legal and Compliance teams, as necessary.
• Participate in various corporate committees, as appropriate.

• J.D. and member of the California bar
• A minimum of six years of legal experience

• Expert understanding of investment advisor and investment management regulation in the U.S.

• Demonstrates strong leadership and influencing skills
• Detail-oriented, organized and professional
• A self-starter who is capable of managing multiple projects and meeting deadlines
• Excellent interpersonal skills; demonstrated success in building and maintaining strong internal and external relationships
• Excellent communication and presentation skills
• Strong organizational and time management skills; ability to effectively identify and prioritize the most critical tasks
• A service-oriented attitude, responsive to the needs of the business
• Ability to work in a sophisticated legal environment
• Exercises good judgment and maintains strict confidentiality
• A team player and collaborates effectively across all levels of the organization

The ideal candidate would also possess one or more of the following additional qualifications:

• Experience with international financial services regulatory regimes
• Experience with the SEC, DOL, and/or ERISA
• Experience with the Investment Company Act of 1940

Estimated Compensation:

Base Salary: For CA based position, the base salary range is $240k to $300k. This is an anticipated range only.

Other Compensation: Eligible to be considered for an annual discretionary bonus

Benefits: Eligible for TCW's comprehensive benefits package.