Corporate and Securities Attorney

Team Description

Our Legal and Regulatory team prioritizes collaboration, creativity, innovation, and the ability to scale our activities to achieve efficiency and effectiveness. In addition to providing superb legal advice, our team focuses on building deep relationships to add value to our investment process. This is a great opportunity for you if you are a hands-on professional looking to make an immediate impact.

Position Description

You will join our legal team and, as a part of the Securities, Trading and Regulatory group, you will provide legal support to a complex portfolio of global assets. Your primary responsibilities will include advising our investment team on the legal, regulatory, and compliance issues affecting a wide array of investment transactions and identifying and monitoring complex legal and regulatory developments across multiple asset classes and jurisdictions. The role also supports the legal and operational infrastructure for Cascade’s trading activity, including negotiating documentation, managing broker and counterparty relationships, and addressing custody, derivatives, market infrastructure, and other trading-related issues.

Key Responsibilities

• Closely partner with Cascade’s investment team to provide strategic, holistic, and portfolio-informed advice with respect to public and private investments in multiple industries and jurisdictions worldwide, including minority and controlling interests in operating companies and funds
• Develop an in-depth understanding of our portfolio and operations to deliver cross-functional solutions across a range of complex global rules and regulations
• Analyze and prepare U.S. filings, including Schedules 13D/G, Form 13F, Form 13H, Forms 3, 4, and 5, Form 144, and Hart-Scott-Rodino Premerger Notification and Report Form, as well as comparable foreign filings
• Analyze and address MNPI concerns and manage our employee trading policy
• Analyze and address public company governance matters, including D&O questionnaires and

related disclosures

• Monitor public company positions for ownership thresholds, disclosure obligations, trading

windows, and other issuer- or security-specific restrictions

• Partner with the trading desk and investment services team on day-to-day trade support,

including pre-trade issue spotting, trade-clearing, trading restrictions, and post-trade legal and

regulatory follow-up

• Design, maintain, and improve internal tools, processes, and reference materials used to

support trading and public company portfolio monitoring, including restricted trading lists, legal

watch lists, portfolio reports, and order-management system restrictions or warnings

• Proactively identify key regulatory changes and developments that could impact our

activities/portfolio and develop strategies to mitigate legal and regulatory risk

• Contribute to the modernization of legal team workflows, including by identifying practical

opportunities to use AI-enabled tools and other technology to improve efficiency, consistency,

and access to legal knowledge

• Collaborate internally with the legal, investment, performance, operations, tax, and accounting

teams and externally with outside counsel and other partners to develop innovative and

thoughtful solutions to challenges arising in managing a global portfolio

• Review, draft, and negotiate commercial agreements
• Lead or participate in cross-functional internal projects

Professional Qualifications

The ideal individual will thrive in our collaborative environment, where organizational success,

innovation, pursuit of excellence, learning, and personal and professional growth are prized above

traditional career progression through title advancement. We are looking for relevant substantive

knowledge and excellent technical skills, as well as personal attributes that match our highly collaborative and humble culture.

• J.D. degree, with at least 6 years of relevant experience
• Excellent legal training and judgment, including significant law firm experience
• In-house experience with an investment organization or public company is a strong plus
• Substantive knowledge of laws and regulations applicable to securities and other investment

products, including the Securities Act of 1933, the Securities Exchange Act of 1934, the

Investment Advisers Act of 1940, and others

• Substantive knowledge of other regulatory issues relevant to a complex global portfolio (e.g.,

HSR, FCPA, industry regulations, etc.)

• Experience advising on trading, market structure, broker or counterparty relationships,

custody, derivatives, or other trading-related operational issues is a strong plus

• Curiosity about emerging technologies, including AI, and an eagerness to apply them

thoughtfully and responsibly in a legal environment

• Experience analyzing issues with a holistic perspective and a commercial approach
• Ability to foster and maintain valued and respected relationships both internally and externally

at all levels, and to cultivate a positive and productive team dynamic

• Exemplary written and oral communication skills, with the ability to succinctly translate legal

principles into practical and actionable business use

Personal Attributes

• Intellectual curiosity, with a growth mindset and eagerness to stretch outside your comfort zone, learn new areas of expertise, and broaden your skillset
• Problem solver who takes initiative in looking over the horizon in anticipation of opportunities, new developments, and challenges
• Highly collaborative, with the flexibility to take on stretch assignments and the humility to thoughtfully execute less glamorous assignments
• Gifted at navigating ambiguity
• Highest levels of professionalism and integrity