Legal and Compliance Counsel Counsel Jobs in California - 135880 | Submit Resume | General Counsel Consulting
General Counsel Consulting
About us Attorney resources Employer resources Job listings Submit resume Contact Us
General Counsel Consulting
Sign In
Email:
Password:
Forgot your password?
New User?
Signup
GCC
General Counsel
Consulting
provided
exceptional
service in helping
my organization
recruit for a hard
to fill position.
They did extensive
work on the front
end to understand
our needs and
our culture and
began referring
highly qualified
candidates almost
immediately.
 
Melinda Burrows
Deputy General Counsel
- Litigation and
Compliance, Progress
Energy Service Company
LLC
 

Jobs for Law Students
Law Student - Law Firm in Canton, OH
USA-OH-Canton
Law Clerk The candidate should have science undergraduate degree, or recent graduate eligible to si.... [more]


Law Student - Public Interest in Denver, CO
USA-CO-Denver
Spring Law Clerk The internship is designed to provide a range of administrative and programmatic e.... [more]


Law Student - Public Interest in Washington, DC
USA-DC-Washington
Fall Law Clerk The internship is designed to provide a range of administrative and programmatic exp.... [more]


Articles By
Harrison Barnes From
BCG Attorney Search

 

 
Click here
 

Job of the Day
Sr. Attorney I
Washington District of Columbia United States

To be part of the AMA is to be part of our Mission to promote the art and science of medicine and the betterment of public health.Join the AMA team that is dedicated to the betterment of public health asa Senior Attorney I in the Advocacy Group in...


In House Legal Job Listings

YOUR WINDOW TO A WORLD OF OPPORTUNITIES
 
Legal and Compliance Counsel
Refer job# EIRN135880
 
Legal and Compliance Counsel The candidate will be providing counsel on investment management, strategic partnerships, technology, intellectual property, trading, contractual, and information security legal issues. Will be drafting and negotiating partnership agreements, investment management agreements, commercial contracts, supplier/vendor agreements, product terms of use, service agreements, nondisclosure agreements, and other arrangements with clients, financial institutions, intermediaries and service providers. Analyzing and adapting to developments in the fintech space. Helping to implement legal risk mitigation strategies (e.g., data privacy) across multiple disciplines (e.g., client contracts, vendor contracts, operational systems and compliance). Assisting with the development and implementation of compliance policies and procedures, in addition to working on long-term projects to maintain the firm's high standards of compliance with new and existing regulations. Reviewing and assisting with the preparation of marketing materials, disclosure documents, and press releases in accordance with the Advisers Act. Supporting regulatory audits and examinations, assist with information requests and inquiries. Providing legal and compliance support and practical advice to firm s business development, engineering, implementation, investments and operations teams.

The candidate should have a JD degree with superior academic credentials from a nationally-recognized law school, State Bar membership and 3+ years of experience as a lawyer in the legal department of a leading financial services organization or a major law firm. An understanding of current legal issues in retail wealth management and/or the financial technology industry is desirable. Must understand the regulatory environment, including the Investment Advisers Act, the Securities Act, the Securities Exchange Act, and the Investment Company Act. Experience with technology law matters essential. Familiarity with ERISA s prohibited transaction rules and other provisions applicable to investment managers is desired.
 
EMAIL TO COLLEAGUE  PERMALINK
This particular job is currently not active. However, since our clients regularly share with us similar and other job openings, we strongly recommend that you submit your resume. We shall review your resume and get in touch with you as soon as a suitable vacancy comes up to further discuss your interest in exploring the opportunity. Assisting you is our highest priority.

Please be assured that none of your materials will be forwarded to any employer without your consent. Of course, all inquiries are kept strictly confidential.
 
 

Shoot for the moon. Even if you miss it, you will land among the stars.