Senior Counsel, Chief Legal Officer-Mutual Funds

This position is responsible for coordinating and providing overall legal services in support of the retail mutual funds and the variable product funds. This position serves as the chief legal officer for the Thrivent mutual funds, and performs board secretarial services for the mutual funds’ board of directors. This position is also responsible for managing the legal relationship with the board, the independent directors and counsel to the independent directors. Additionally, this position works with counsel to the investment advisers and transfer agent. This position works closely with business partners to develop products and services, maintain products and provide legal support and guidance to the business for the day to day operations of the funds.Position Roles/Responsibilities/Accountabilities
Provide all legal support for the retail mutual funds and the variable product funds.
Prepare and review filings with the Securities and Exchange Commission, NASD and state authorities relative to the mutual funds and variable product funds.
Provide legal advice and counsel to management and staff responsible for Thrivent Financial’s mutual fund products.
Serve as Chief Legal Officer of Thrivent Financial’s retail mutual funds and the variable product funds.Position Qualifications
JD from an accredited law school.
Licensed to practice law within the United States. Needs to be or become licensed in Minnesota.
12 years of legal experience (in-house, law firm or regulatory agency) working with mutual funds, variable product funds and registered investment advisers.
Thorough working knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, NASD Regulations, and blue sky laws and regulations.
Ability to deal with regulators, board members and senior management.
Ability to manage staff.Competencies
Seasoned and experienced technical expert.
Business acumen - thorough knowledge of regulation and function of mutual funds.
Think strategically.
Accountability - self starter who delivers the right results.
Use sound judgment.
Ability to influence and engage others - work effectively with and earn confidence of senior management.
Communication - excellent written and verbal communication skills
Build collaborative relationships - ability to work collaboratively with other Law and Compliance units.External/Internal Dependencies
This position works with all key business areas of the corporate office, including individuals at staff, management, executive and board levels.
This position will work with the Chief Compliance Officer for mutual funds, registered separate accounts and investment advisers.
This position will work closely with outside counsel to ensure that cost effective and high quality legal services are provided to the mutual funds.
This position will oversee effective use of outside vendors servicing the mutual funds (e.g. printing companies and proxy solicitors).
This position will be directly dealing with regulatory agencies that regulate mutual funds (e.g. Securities and Exchange Commission; NASD; and state securities departments).
This position will serve as the Chief Legal Officer for the mutual funds and perform board secretarial functions for the mutual funds’ board of directors.
REQUIREMENTS
Please see Job Description