Experienced, business-oriented and performance-driven in-house attorney with a proven track record of providing legal and strategic counsel to senior management and boards of directors regarding a wide range of complex legal, compliance, business and regulatory matters at financial service and asset management firms. Trusted advisor and leader recognized for providing a global perspective and taking a collaborative,
Experienced, business-oriented and performance-driven in-house attorney with a proven track record of providing legal and strategic counsel to senior management and boards of directors regarding a wide range of complex legal, compliance, business and regulatory matters at financial service and asset management firms. Trusted advisor and leader recognized for providing a global perspective and taking a collaborative, teamwork-focused approach. Demonstrated results with increasing responsibilities and leadership roles throughout career.
Senior Vice President, Associate General Counsel and Secretary @ Senior executive responsible for all aspects of legal, business and regulatory matters for Harbor Capital Advisors, its affiliated broker-dealer, Harbor Funds Distributors, Inc., and affiliated transfer agent, Harbor Services Group, Inc., and the Harbor Funds. Serve as Vice President, Secretary and Anti-Money Laundering Compliance Officer for Harbor Funds. Oversee a team of three professionals, including an attorney and two paralegals. Primary legal responsibilities: --Advising senior management and presenting to boards of directors on a wide range of legal and regulatory matters. --Providing legal and strategic counsel and thought leadership in connection with potential product offerings and broader distribution efforts and opportunities to acquire investment talent. --Leading board meeting processes for Harbor entites. --Coordinating and directing litigation defense, including Section 36(b) excessive fee litigation. --Drafting, negotiating and reviewing all contracts. --Directing and structuring comprehensive intra-company intermediary oversight program. Primary business responsibilities: --Active executive participant on Harbor Capital’s Audit and Risk Committees; collaborating with senior management to assess and manage material risks facing Harbor. --Full participation in investment and manager selection decisions as an Investment Committee and Group Trust Committee participant. --Chairing Intermediary Oversight Committee and actively serving on Employee Benefits Committee, Business Continuity Team and Valuation Committee. --Established strategic goals in collaboration with senior executive team that resulted in Harbor Capital’s strategic plan for the 2014-2018 period. --Represented Harbor Capital as a member of senior executive team in connection with sale of parent company. --Monitoring and overseeing more than 35 subadvisers. --Structuring and executing a comprehensive insurance program. From July 2007 to Present (8 years 2 months) Chicago, ILVice President, Assistant General Counsel and Corporate Secretary @ Executive responsible for all day-to-day aspects of legal, regulatory and compliance matters for Ariel, its affiliated broker-dealer, Ariel Distributors, LLC, and the Ariel Investment Trust (Ariel Mutual Funds). Served as Vice President and Secretary for Ariel Investment Trust. Selected accomplishments included: --Managed Ariel’s legal department day-to-day, including coordination and monitoring of outside legal counsel. Reorganized and integrated the legal and compliance department in order to better facilitate services to business partners. --Provided strategic and legal counsel to senior management and presented to Ariel’s boards regarding a wide range of legal, compliance and regulatory matters applicable to investment advisers and mutual funds, including GIPS compliance, intermediary contracts, institutional advisory agreements and pay-to-play and other political contribution laws. Active member of Trading Oversight Committee. --Lead board meeting processes for Ariel Funds and Ariel Investments, including presenting to boards; preparing board materials; drafting minutes; maintaining records; and managing board meeting logistics. From November 2003 to July 2007 (3 years 9 months) Chicago, ILAttorney @ Member of Corporate and Securities Group. Experience counseling a broad range of clients regarding mergers and acquisitions, public and private offerings, securities registration and compliance, and general corporate issues. Extensive involvement in the representation of mutual funds, investment advisers and private investment funds. From September 2000 to November 2003 (3 years 3 months) Chicago, IL
JD @ Washington University in St. Louis School of Law From 1997 to 2000 BA with honors, History (adjunct degree in International Studies) @ Northwestern University From 1993 to 1997 International Baccalaureate @ International School of Dusseldorf From 1990 to 1993 Erik Ojala is skilled in: Mutual Funds, Asset Management, Compliance, Corporate Law, Securities Law, Financial Services, Due Diligence, FINRA, Strategy, Mergers & Acquisitions, Investments, Securities Regulation, Alternative Investments, Corporate Governance, Securities, Auditing, Legal Compliance
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