Paralegal

Bernstein is widely recognized as a premier global equity research and brokerage firm, with a trading platform that spans the US, Europe, and Asia. Our research and trading capabilities are sought out by leading investment managers around the world, and we have a long history of our research receiving #1 rankings for overall quality and industry knowledge.

Bernstein Societe Generale Group is the Joint Venture established between Societe Generale and Alliance Bernstein to provide high quality independent research in equity and cash equity execution services. Bernstein Autonomous LLP is the UK Operating Company and employing entity for the JV.

Summary of Key Purposes of the Role

This position will be required to assist the legal team on a global basis in relation to all legal issues relevant to all regions where Bernstein operates. Whilst there is no requirement for the candidate to have expertise or experience outside of the UK, the candidate must be willing to fully support the global legal team as required. There is an expectation that the successful candidate will pre-emptively contact the global team to offer their support and build out their book of work.

This position will be involved in tracking all legal requests, managing contractual documentation (clients, vendors, brokers, trading venues and third parties), assisting with all matters relating to corporate governance (excluding Companies House filings), and assisting lawyers on the team in connection with legal and regulatory matters.

In successfully fulfilling the role, this individual will need to closely partner with all business units in Bernstein, and, in time, become a trusted partner for the senior management of each business unit. The individual will be required to proactively engage with relevant business units, attend meetings, support with all requests that are received from the business units (even if they are not strictly legal in nature) and generally have a self-starter attitude and be willing to work outside of their “comfort zone.”.

The role will also involve close collaboration with the Compliance Team and will need to provide support related to compliance queries where there is either overlap or because the Compliance Team needs some additional support.

Experience is required in one of the following practice areas: financial regulation, commercial, corporate, company secretariat

Responsibilities

Setting a Positive Example

• Set a positive example by adhering to corporate, cultural and conduct standards. This includes full compliance with the Bernstein Employee Handbook and in-office attendance and mobile phone usage requirements.

• In conjunction with counsel in each region, assist the legal department (and compliance department where appropriate) on all regulatory and legal matters affecting Bernstein, noting that different regions have different regulatory, legal and jurisdictional frameworks, so there will not be a one-size-fits-all approach.

• Secure proactive early involvement in projects, new initiatives, and services to advise on and mitigate any legal and regulatory risks. This requires collaborating and fostering excellent working relationships with all business units, so that legal is consulted in the early stages.

Fiduciary Requirements

• Ensure that Bernstein’s legal and regulatory risk is appropriately minimised and managed in all regions.

• Assist Bernstein with legal risk management, under the direct management and supervision of the Head of Legal, UK and, where the matter relates to non-UK issues, supervision from regional senior lawyers.

• Escalate matters to the appropriate lawyer and/or business unit as the case may be.

• Keeping senior management appropriately informed in relation to all ongoing legal issues / concerns.

Advisory

• Provide guidance to colleagues when participating in projects and initiatives.

• Help manage relationships with external counsel, including legal invoicing.

• Producing high quality and consistent background research to assist the global legal team .

• Delivering a consistent message across all legal matters and to all business units, but adopting a flexible approach where this may be required.

Regulatory and Legal Requirements

Acting at all times in a manner consistent with the Law Society of England and Wales, including:

• Ensuring legal documentation appropriately minimises risks to Bernstein and ensures that Bernstein can remain in compliance with the relevant legislation and regulatory regimes.

• Proactively identifying when updates or amendments are required, either as a result of feedback or practice.

• Ensuring relevant business units are fully informed of the legal and regulatory risks associated with any commercial strategy or proposed contractual arrangement, both in advance of any launch and on an ongoing basis.

• Maintaining up-to-date knowledge and awareness to help with changes to applicable corporate governance and regulatory regimes and legislation.

• Engage with external resources to source external advice or supplement existing resources.

• Coordinating all changes/inputs to legal documents and preparing for signature and storage.

• Drafting template research agreements based upon commercial terms provided by counsel.

• Reviewing changes to client and vendor contracts and escalating decision points and risks to senior lawyers and management.

• Maintaining trackers of legal requests and following up with lawyers and internal clients; tracking all legal fees and securing necessary approvals.

Corporate Governance Responsibilities

• Assist with minute-taking and preparation of board packs globally.

• Manage corporate governance functions for UK entities.

• Maintain internal documentation relating to directorships / director equivalent roles.