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The Senior Legal Counsel of Symphony Asset Management will work closely with Symphony’s Chief Compliance Officer and Senior Management, together with members of Nuveen’s legal department, in providing legal support and advice to the Firm and its employees. The position will report to the Managing Director, Head of Alternative Credit in Nuveen’s Legal Department.

Symphony is a registered investment adviser and an indirect, wholly-owned subsidiary of Nuveen, whose principal strategies involve credit instruments such as loans, high yield bonds and CLOs primarily offered to an institutional client base.  The position will involve providing legal advice in the context of the federal securities and other laws to portfolio managers, traders, analysts, operations personnel, client services and other departments within the Firm with respect to credit strategies and related products.  One particular area of focus will be working with the Firm’s CLO team and outside counsel with respect to the origination, warehousing, securitization and marketing of CLO transactions for which Symphony acts as collateral manager. The candidate should have experience in drafting, structuring, advising on, and reviewing CLO documents as well as an understanding of the product and issues involving Symphony’s role as a collateral manager and the laws and rules that govern CLOs. The candidate should also have an understanding of credit products more generally, and experience with reviewing and negotiating vendor, NDA, trading and other contracts.

The position will also involve overseeing outside counsel providing restructuring/bankruptcy advice to the Firm in its capacity as an investment adviser to clients that hold investments in issuers that are restructuring or that have filed for bankruptcy.

In time, the candidate will be expected, with the assistance of the Nuveen legal team, to broaden the role and develop an in-depth knowledge of, and the ability to oversee and advise on the adherence to legal and regulatory requirements, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, other federal securities laws and the other areas in which Symphony operates such as private/hedge funds.


The candidate will work with portfolio managers, traders, analysts, members of the CLO and credit groups and others at Symphony who provide services to the CLO and credit teams, such as Client Services, together with lawyers at Nuveen and outside counsel to provide legal advice on a day-to-day basis on any issues that may arise with respect to CLOs and credit funds, with the ability to analyze and solve problems collaboratively. With respect to CLOs, the candidate would focus on assisting in structuring, advising on drafting and reviewing CLO documents.  He/She will also assist with general contract review, including NDAs, financing term sheets, commitment letters and trading contracts.

The candidate is expected to be hands-on and detail–oriented, and not only become familiar with the Firm’s legal and regulatory functions, but in time to become involved in the Compliance Program, acting as legal advisor and a resource to the CCO. Together, they will advise on policies and procedures, risk management, testing, and surveillance and oversight functions.

The candidate is expected to work proactively with Client Services, Operations, Accounting and Investment teams on identifying and resolving potential legal and regulatory issues, initially with respect to CLOs and credit strategies.  Resolution of issues could include assisting the Chief Compliance Officer in drafting new policies and procedures, training, structuring products, etc.

The candidate would, as appropriate, work closely with Nuveen, TIAA and other affiliates’ legal personnel on matters as they arise.


The candidate must be able to work effectively with different types of people and to tactfully but with authority say “no” when circumstances require.  The importance of combining a broad knowledge of the business cannot be overemphasized as well as combining this knowledge with a practical approach to analyzing problems and structuring solutions.


JD Degree, preferably from a top tier law school.

Seven or more years’ experience in a law firm, insurance company or other entity in the area that works on CLOs and credit instruments. Hedge and Private Funds, 40 Act Funds, credit instruments, bankruptcy rules, foreign regulatory initiatives and requirements, and risk analysis are some of the areas in which experience is helpful but not required.


Excellent communication skills, both verbal and written, and the ability to make complex issues understandable without relying on legalese.

Detail oriented, well organized and flexible

San Francisco, CA

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