Legal & Compliance
Lazard Asset Management's Legal / Compliance Department plays an important role
in helping LAM meet its business objectives and to ensure that LAM complies with
the various regulations that governs its businesses. Members of the Department sit
on LAM’s management committees that provide oversight to its business and are routinely
called upon to provide advice to the other LAM departments.
LAM’s Legal / Compliance professionals based in LAM’s operating offices in London,
Sydney, Frankfurt, Tokyo and Seoul report to the Legal / Compliance Department based
in the New York headquarters. Due to LAM’s integrated global business plan, all
of the Legal / Compliance professionals provide support to the business groups in
their respective locations as well as providing support to other locations.
Responsibilities, functions and services provided by Legal / Compliance professionals
include, but are not limited to, reviewing and negotiating contracts (investment
management and service contracts), assisting in the development of investment products
and creating legal structures for these investment products, reviewing and approving
RFP responses and marketing and sales literature, drafting offering documents (private
placement memoranda, prospectuses), addressing regulatory inquiries, drafting and
filing regulatory documents and drafting and implementing LAM’s Compliance Policies
and Procedures. In addition, Legal / Compliance professionals are responsible for
providing advice and support with respect to the Lazard Mutual Funds (preparing
prospectuses and Board materials) as well as providing support to other mutual funds
that LAM has been retained as subadviser. Other functions include the monitoring
of clients’ investment guidelines and restrictions, brokerage and soft dollar practices,
personal trading activities and providing continuing education training for LAM’s
employees.
Interested candidates should email their resume and a cover letter to
Elyse Heiman, Recruiter, LAM Human Resources.
Please include LAM Legal & Compliance in the subject line of your email.