Position Summary
Reporting to TCW’s General Counsel, the Counsel, Head of Global Regulatory Affairs will lead TCW’s regulatory affairs effort, including TCW’s (i) engagement with domestic and global policymakers with the objective of influencing outcomes to benefit TCW’s clients and business, (ii) analysis of new regulations in the U.S. and other jurisdictions where TCW does, or is contemplating doing, business, (iii) enhancement of TCW’s processes and control environment to remain in compliance with changing regulations, and (iv) analysis of the potential strategic impact of contemplated and new regulations on TCW’s business. The Head of Global Regulatory Affairs will also promote the priorities of the leadership team and other key business leaders at TCW.
This is a critical, hands-on, role in the firm and requires expert understanding of the evolving perspective of regulators and other policymakers, new regulations, and their impact on investor behavior and investment markets. It requires the incumbent to contribute as a working manager and be a team player in executing any tasks required.
Essential Duties
- Coordinate TCW’s engagement with regulators and other policymakers on global regulatory matters, including representing TCW in such engagements.
- Position TCW to influence policy and regulations; consider TCW’s clients and business objectives in the process.
- Coordinate TCW’s review and modification of its control environment in response to new or updated regulations; work closely with business leaders to ensure a smooth, timely, and continuous compliance to new regulations.
- Advise business leaders on the strategic implication of new and changing policies and regulations.
- Stay current on legal and regulatory developments relevant to the investment management industry.
- Manage projects and support the Legal and Compliance teams, as necessary.
- Collaborate with Legal and Compliance teams to complete various team projects and/or tasks.
- Participate in various corporate committees, as appropriate.
Required Qualifications
- D. and member of the California bar
- 8-10 years of legal experience
Professional Skills Qualifications
- 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
Desired Qualifications
The ideal candidate would also possess one or more of the following additional qualifications:
- 3+ years of experience at a U.S. regulatory rule making agency (e.g., SEC, Fed, DOL) or trade organization covering financial services (e.g., ICI, IAA, IRI, SIFMA)
- Experience with international financial services regulatory regimes
- Experience with designing compliance policies and procedures and/or other internal controls for a financial service firm
Estimated Compensation:
Base Salary: For CA based position, the base salary range is $225k 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. See more information here.
