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In House Legal Job Listings

YOUR WINDOW TO A WORLD OF OPPORTUNITIES
 
Welcome to the job listings section of General Counsel Consulting. We are constantly updating our jobs seven days a week. As a firm dedicated to in-house search and placement, our ability to forge strong relationships with top-rated companies around the world allows us to offer our candidates a breadth of opportunities we believe is unrivaled.
 
We are pleased that your assessment of options has led you to General Counsel Consulting, and we invite you to browse our website to learn more about our firm and the career opportunities we offer. If you would like to be considered for an in-house attorney position, feel free to submit your resume.
 
If you are an employer looking to hire an in-house counsel, please click here to contact us and submit your opening.
 
 

Corporate Counsel

Bethlehem PA Corporate Counsel The candidate will draft and negotiate agreements. Manage various legal matters, disputes, and strategic projects, as requested. Collaborate across many functions, countries, cultures, and time zones to drive results on complex projects. JD Degree from a U.S. Accredited law school (or equivalent plus U.S. LLM). Admission to at least 1 U.S. state bar or District of Columbia. Minimum 4 years contract drafting/negotiating experience. Specific experience drafting and negotiating a broad range of agreements commonly needed in the medical device/pharma industry, including, without limitation, sales agreements, group purchasing agreements, equipment lease and rental agreements, distribution agreements, consultant agreements, development agreements, license agreements, and clinical trial agreements. Knowledge of intellectual property, big data, software and technology issues. Knowledge of U.S. state and federal privacy laws, including healthcare privacy and experience negotiating privacy related contracts. Understanding of basic business concepts, strategies, and risks. Excellent judgment, strategic and analytical thinking and the ability to assess risk and mitigations and make recommendations based on the company's values, vision, business goals and risk appetite. Strong problem-solving/creative skills that drive new business solutions. Strong priority-setting skills, attention to detail and the ability to work on multiple projects at the same time. Excellent verbal and written communication skills to allow effective interaction with all levels of the organization. Possesses a growth mindset with a passion for learning new things. Ability to thrive in a team environment. Fosters a diverse and inclusive workplace that enables all participants to contribute to their full potential in pursuit of organizational objectives. Knowledge of Anti-kickback laws, false claims act, foreign-corrupt practices act, Physician Payments Sunshine Act, HIPAA, and FDA regulations . Transactional and contract experience in the commercial or healthcare department of a major law firm, with a combination of in-house experience at a medical device or pharmaceutical company. JD degree required and 04-06 years related experience required. Applicable industry/professional certification preferred. Regular and predictable attendance. Occasional business travel required. Legal 4 - 6 Full-time 2022-09-30

Corporate Counsel

Collegeville PA Corporate Counsel The candidate will advise and counsel PGS External Supply, PGS Sourcing (Procurement), and GCS on negotiation, drafting, and alliance management for supply- related transactions. Will support PC1 for a full range of commercial transactions, including API, drug development and supply, and business development transactions. Support PGS Quality organization on quality issues that may impact the supply of products and related work with PGS External Supply on transactional matters. Serve as a manufacturing and supply subject matter expert for other Pfizer Legal Division practice groups. Participate in template and training teams to develop appropriate documents for supported client groups and drive efficient use of the templates for routine agreements by the clients, with support from legal professionals as appropriate.

The candidate should have a JD plus 7+ years of legal experience, including drafting, negotiation, and alliance management support of life sciences transactions. Must have Admission to practice law in the US. Experience counseling clients on transactional matters relating to manufacturing, quality, and supply is required. Experience with counseling clients on the management of significant commercial disputes, including issues impacting manufacturing, quality, or supply is needed. Should demonstrate a breadth of diverse leadership experiences and capabilities including the ability to influence and collaborate with peers, develop and coach others, oversee and guide the work of other colleagues to achieve meaningful outcomes and create business impact. Able to understand and operate effectively in the Pfizer organization, particularly the matrix structure and enabling functions and business units is a plus. Proven ability to manage high volume workload and resolve pressing needs while tracking progress towards longer-term goals is desired.
Legal 7 - 0 Full-time 2022-09-24

Corporate Counsel, Global Alliances

Harrisburg PA Corporate Counsel Duties: The candidate will review, negotiate, draft and close agreements related to inbound partners such as PS Asset Reseller Agreements, technology agreements, alliance/partnering agreements, and support agreements. Review, negotiate, draft and close agreements related to outbound partners including reseller, service provider, distribution/channel, and referral partner agreements. Global Partner Program team in developing, implementing, and rolling out new programs. Support Global Partner Program in maintaining and updating existing programs. Prepare and maintain standard templates for recurring commercial transactions and to address new business models or legal and business requirements; and counseling and collaborating with procurement, Partner Program team, Partner Enablement team, channel sales, partners, finance, and other business functions as needed to effectively and efficiently accomplish assignments and ensure best practices in various legal areas such as antitrust, intellectual property protection, contract law, and others.

Qualifications: Must possess a Law degree from an accredited law school and be a member in good standing with a State bar in the U.S. 6 years legal experience required. Customer-facing deal negotiation (e.g., sales and deal desk, etc.) is a must. Ability to work cross functionally to drive business priorities and strategies is a must. Substantial experience with top rated law firm or major high technology company preferrable. Demonstrated attention to detail, a good communicator, organized and possess excellent drafting skills. Must have positive, problem-solving, business focused attitude with good judgment prioritizing workload in fast paced environment. Must be a team player also able to self-start and work independently. Ability to travel (travel requirements are variable but typically less than 5% per year). Must be customer-centric and have the ability to lead business negotiations (internal and external) and assist clients in meeting their objectives. International experience and language skills will also be taken into consideration.
Legal 6 - 0 Full-time 2022-09-24

Corporate Counsel

Philadelphia PA Corporate Counsel The candidate drafts, reviews and negotiates a variety of complex agreements with clients and partners; including life sciences companies, laboratory and radiology companies, billing companies, CROs, payors and advertising agencies. These including MSAs, SOWs, license agreements, SAS agreements, TPAs, data use agreements, clinical study agreements; retrospective study agreements; and user consents. Supports the Veradigm Business Unit including Provider and the Life Sciences teams which includes transactional and product advisory work including the following: Advises on implementation of commercial arrangements within the EHR; Works on research and study agreements and implementation; Provides advice on the EULA and review, draft, revise the EULA, including click through agreements and consents within the EHR; Works with the design team on questions related to features/functionality; and Advises marketing in connection with public facing content. Identifies and escalates compliance issues. Advises company regarding business risk issues. All other duties and responsibilities as assigned. Should have 4 years of experience practicing law. Undergraduate degree and JD (must be from an accredited law school). Admitted to at least one State Bar in the United States. Commercial contracting experience with healthcare, information technology and/or life sciences. Knowledge of general corporate and compliance issues. Preferred candidate will be a self-starter with exceptional organizational skills. Prior in-house experience is preferred. Legal 4 - 0 Full-time 2022-09-22

Senior Counsel - Corporate Contracts

Chester PA Senior Counsel - Corporate Contracts Duties: Work collaboratively with all levels of employees, from front line to C-Suite, with diverse backgrounds within a fast-paced environment. Draft, negotiate and interpret commercial contracts, settlement agreements, warranties, outsourcing agreements, service-level agreements, construction contracts, lease agreements and related services agreement, confidentiality agreements, licensing agreements, and project-specific agreements with both customers, vendors and other third parties. Review, edit and approve internal and external promotional and advertising materials. Understand and provide advice on data privacy laws (including CCPA, GDPR, TCPA, DNC), general privacy matters, trademark, copyright and advertising law, and general employment law (as applicable to outsourcing transactions). Ensure compliance with all applicable laws, regulations and policies. Participate in and influence the decision-making process with appropriate clients and stakeholders. Identify and assess legal risks and opportunities within and outside of the organization and advise accordingly. Independently handles legal matters and projects ranging from basic to complex. Recognizes when to elevate certain matters to the attention of the General Counsel. Supervise, manage and evaluate outside counsel, when necessary. Educate clients and stakeholders on legal matters, policies and procedures and creates and provides training. Advocate Power's interests in assigned matters. Establish and maintain relationships, credibility and trust with clients, stakeholders, legal team members and other colleagues. Perform other tasks and demonstrate a passion to learn new areas of the law, even those not related to transactions or commercial contracts, as assigned from time to time by the General Counsel. Ability to travel at times, including weekends.

Qualifications: Competence as a lawyer; ability to manage heavy workload in a high-pressure environment and reprioritize with little direction. The ability to competently manage multiple projects and transactions; project management skills; strong personal accountability, follow-up and initiative. Creative problem solving skills with the ability to propose solutions that are not only legally compliant, but consistent with business plans and strategies. Good communication (oral and written) and interpersonal skills within and across departments and externally; must be proactive in providing counsel to clients. Sound judgment; ability to clearly make reasoned recommendations; ability to cross think and determine who should be kept informed. Self-starter with developed business acumen and a sense of urgency, honesty and fairness. Team player, patient listener, and calm under pressure with an eagerness to take on assignments outside of assigned duties. Self-confident and inspires confidence from clients. Must have a JD degree from an accredited law school and admitted to practice in Pennsylvania. Must have a minimum of seven years of substantive corporate contracts and/or transactional experience with a corporate legal department or a nationally recognized law firm. Must have in-house experience of no less than 2 years. Must have experience in counseling clients on a variety of contractual and transactional experience. Committed to being a legal business partner to internal clients. Strong writing skills required. Strong communication skills required. Previous experience representing a sales organization, start-up or closely held company a plus.
Legal 7 - 0 Full-time 2022-09-17

Corporate Counsel

Pittsburgh PA Corporate Counsel Responsibilities: Review and manage deadlines for contract requests from various company departments. Analyze, evaluate, draft, and negotiate customer agreements, including master agreements, lease agreements, SaaS agreements, purchase agreements, non-disclosure agreements, distributor/reseller agreements, RFQs, government contracts, and partnership/strategic alliance agreements. Analyze, evaluate, draft, and negotiate commercial agreements for internal departments, including Fulfillment, Engineering, and Product Development. Support departmental process improvements relating to contracts. Engage with internal business units, such as Contract Administration, Trade Compliance, Sales, and Sales Support, to drive organizational growth.

Qualifications: J.D. degree and active state law license. 2-5 years of experience as a practicing attorney. Strong commercial/transactional experience. Excellent contract drafting skills. Highly motivated, thorough, and organized, with a dedication to excellence. Experience in technology products, SaaS software, and related services. Excellent communication and writing skills.
Legal 2 - 5 Full-time 2022-09-09

Pennsylvania - Director, Investment Advisor Compliance

Radnor PA Director, Investment Advisor Compliance
The candidate will be responsible for the oversight of the Funds' advisers' Rule 206(4)-7 compliance programs to ensure compliance with existing laws and regulations and to assist in responding to audits, examinations and similar regulatory inquiries related to the Funds and its advisers. Will report to the Vice President, CCO of the Funds and Advisers within the company's Enterprise Compliance organization. Responsible for the day-to-day implementation of the compliance programs of the Funds' advisers, including ongoing monitoring of compliance requirements, risk assessment analysis and corporate directives that impact the compliance programs. Provide compliance oversight with respect to mutual fund sub-advisers including both initial and ongoing due diligence. Develop thorough knowledge of sub-advisers' compliance framework and practices, assess and report on sub-advisers' compliance with applicable policies and procedures pertaining to management of the Hartford mutual funds. Exercise ongoing due diligence oversight of sub-advisers with respect to a broad range of compliance issues, including trading practices and commissions. Assist the Funds and Advisers CCO in preparing quarterly reporting to the Mutual Fund Board of Directors and an annual compliance report for the Advisers. Manage the compliance professional responsible for the monitoring of portfolio compliance for applicable portfolios using the Charles River compliance system and the administration of the mutual fund and advisers' code of ethics. Provide assistance in the execution of these duties as necessary. Assist in the preparation and review of various regulatory filings including Forms 13F, 13G and N-PX, and provide information and responses in connection with the mutual fund annual advisory contract 15(c) renewal. Responsible for the maintenance and filing of the Advisers' Forms ADV, both annually and in connection with material changes. Review and comment on shareholder reports (primarily MD&As), applicable portions of the prospectuses and SAIs, RFP, RFI and Questionnaire information, Fund holdings disclosure and other disclosures provided from time to time. Participate in and provide input at the Funds' Valuation Committee meetings, review valuation practices, and participate in due diligence reviews of valuation vendors. Provide other support for advisers' and funds' compliance programs, including supporting the Investment Adviser risk assessment process, incorporate, as appropriate, sample or forensic testing in assessments, implementing the Pay-to-Play requirements for HLIA and HIFSCO. Monitor changes to the federal securities laws that could require revisions to the policies and procedures, and to ensure that any required changes are communicated to the applicable business areas and are implemented accordingly.

The candidate should have a Bachelor's degree. Should preferably have an advanced degree or proven business acumen. J.D. degree, CPA or CFA strongly preferred. Must have 8+ years of compliance experience with expertise managing mutual fund and investment adviser compliance, preferably at a mutual fund company. Should have bBroad knowledge of US securities compliance, regulated business environments and key legal issues especially as they relate to trading, the investment process and the Investment Advisers Act of 1940 as applicable to institutional money managers.
Legal 8 - 10 Full-time 2012-10-06
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Senior Legal Counsel - Regulatory Compliance
In-House,Magellan Health Services, Inc.
Location : Philadelphia, PA, United States

Senior Legal Counsel - Regulatory Compliance Duties: Provide seasoned legal assistance in the following areas as applicable to the individual's area of responsibility (specific services may vary depending on expertise and specialty; e.g., litigatio... + read more

oct 01, 2022


Corporate Counsel Ii
In-House,FIS Company
Location : Philadelphia, PA, United States

Corporate Counsel II The candidate will prepare and negotiate contracts while providing legal advice and counsel to business units in areas that include software licensing, data security, privacy and regulatory matters. Perform legal research and an... + read more

sep 29, 2022


1
 
Corporate Counsel
Refer job# NVMP170768
 
Corporate Counsel The candidate will draft and negotiate agreements. Manage various legal matters, disputes, and strategic projects, as requested. Collaborate across many functions, countries, cultures, and time zones to drive results on complex projects. JD Degree from a U.S. Accredited law school (or equivalent plus U.S. LLM). Admission to at least 1 U.S. state bar or District of Columbia. Minimum 4 years contract drafting/negotiating experience. Specific experience drafting and negotiating a broad range of agreements commonly needed in the medical device/pharma industry, including, without limitation, sales agreements, group purchasing agreements, equipment lease and rental agreements, distribution agreements, consultant agreements, development agreements, license agreements, and clinical trial agreements. Knowledge of intellectual property, big data, software and technology issues. Knowledge of U.S. state and federal privacy laws, including healthcare privacy and experience negotiating privacy related contracts. Understanding of basic business concepts, strategies, and risks. Excellent judgment, strategic and analytical thinking and the ability to assess risk and mitigations and make recommendations based on the company's values, vision, business goals and risk appetite. Strong problem-solving/creative skills that drive new business solutions. Strong priority-setting skills, attention to detail and the ability to work on multiple projects at the same time. Excellent verbal and written communication skills to allow effective interaction with all levels of the organization. Possesses a growth mindset with a passion for learning new things. Ability to thrive in a team environment. Fosters a diverse and inclusive workplace that enables all participants to contribute to their full potential in pursuit of organizational objectives. Knowledge of Anti-kickback laws, false claims act, foreign-corrupt practices act, Physician Payments Sunshine Act, HIPAA, and FDA regulations . Transactional and contract experience in the commercial or healthcare department of a major law firm, with a combination of in-house experience at a medical device or pharmaceutical company. JD degree required and 04-06 years related experience required. Applicable industry/professional certification preferred. Regular and predictable attendance. Occasional business travel required.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Corporate Counsel
Refer job# QFNW170598
 
Corporate Counsel The candidate will advise and counsel PGS External Supply, PGS Sourcing (Procurement), and GCS on negotiation, drafting, and alliance management for supply- related transactions. Will support PC1 for a full range of commercial transactions, including API, drug development and supply, and business development transactions. Support PGS Quality organization on quality issues that may impact the supply of products and related work with PGS External Supply on transactional matters. Serve as a manufacturing and supply subject matter expert for other Pfizer Legal Division practice groups. Participate in template and training teams to develop appropriate documents for supported client groups and drive efficient use of the templates for routine agreements by the clients, with support from legal professionals as appropriate.

The candidate should have a JD plus 7+ years of legal experience, including drafting, negotiation, and alliance management support of life sciences transactions. Must have Admission to practice law in the US. Experience counseling clients on transactional matters relating to manufacturing, quality, and supply is required. Experience with counseling clients on the management of significant commercial disputes, including issues impacting manufacturing, quality, or supply is needed. Should demonstrate a breadth of diverse leadership experiences and capabilities including the ability to influence and collaborate with peers, develop and coach others, oversee and guide the work of other colleagues to achieve meaningful outcomes and create business impact. Able to understand and operate effectively in the Pfizer organization, particularly the matrix structure and enabling functions and business units is a plus. Proven ability to manage high volume workload and resolve pressing needs while tracking progress towards longer-term goals is desired.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Corporate Counsel, Global Alliances
Refer job# IXHS170606
 
Corporate Counsel Duties: The candidate will review, negotiate, draft and close agreements related to inbound partners such as PS Asset Reseller Agreements, technology agreements, alliance/partnering agreements, and support agreements. Review, negotiate, draft and close agreements related to outbound partners including reseller, service provider, distribution/channel, and referral partner agreements. Global Partner Program team in developing, implementing, and rolling out new programs. Support Global Partner Program in maintaining and updating existing programs. Prepare and maintain standard templates for recurring commercial transactions and to address new business models or legal and business requirements; and counseling and collaborating with procurement, Partner Program team, Partner Enablement team, channel sales, partners, finance, and other business functions as needed to effectively and efficiently accomplish assignments and ensure best practices in various legal areas such as antitrust, intellectual property protection, contract law, and others.

Qualifications: Must possess a Law degree from an accredited law school and be a member in good standing with a State bar in the U.S. 6 years legal experience required. Customer-facing deal negotiation (e.g., sales and deal desk, etc.) is a must. Ability to work cross functionally to drive business priorities and strategies is a must. Substantial experience with top rated law firm or major high technology company preferrable. Demonstrated attention to detail, a good communicator, organized and possess excellent drafting skills. Must have positive, problem-solving, business focused attitude with good judgment prioritizing workload in fast paced environment. Must be a team player also able to self-start and work independently. Ability to travel (travel requirements are variable but typically less than 5% per year). Must be customer-centric and have the ability to lead business negotiations (internal and external) and assist clients in meeting their objectives. International experience and language skills will also be taken into consideration.
 
EMAIL TO COLLEAGUE  PERMALINK
 
 
Corporate Counsel
Refer job# VWQK170553
 
Corporate Counsel The candidate drafts, reviews and negotiates a variety of complex agreements with clients and partners; including life sciences companies, laboratory and radiology companies, billing companies, CROs, payors and advertising agencies. These including MSAs, SOWs, license agreements, SAS agreements, TPAs, data use agreements, clinical study agreements; retrospective study agreements; and user consents. Supports the Veradigm Business Unit including Provider and the Life Sciences teams which includes transactional and product advisory work including the following: Advises on implementation of commercial arrangements within the EHR; Works on research and study agreements and implementation; Provides advice on the EULA and review, draft, revise the EULA, including click through agreements and consents within the EHR; Works with the design team on questions related to features/functionality; and Advises marketing in connection with public facing content. Identifies and escalates compliance issues. Advises company regarding business risk issues. All other duties and responsibilities as assigned. Should have 4 years of experience practicing law. Undergraduate degree and JD (must be from an accredited law school). Admitted to at least one State Bar in the United States. Commercial contracting experience with healthcare, information technology and/or life sciences. Knowledge of general corporate and compliance issues. Preferred candidate will be a self-starter with exceptional organizational skills. Prior in-house experience is preferred.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Senior Counsel - Corporate Contracts
Refer job# ANIJ170485
 
Senior Counsel - Corporate Contracts Duties: Work collaboratively with all levels of employees, from front line to C-Suite, with diverse backgrounds within a fast-paced environment. Draft, negotiate and interpret commercial contracts, settlement agreements, warranties, outsourcing agreements, service-level agreements, construction contracts, lease agreements and related services agreement, confidentiality agreements, licensing agreements, and project-specific agreements with both customers, vendors and other third parties. Review, edit and approve internal and external promotional and advertising materials. Understand and provide advice on data privacy laws (including CCPA, GDPR, TCPA, DNC), general privacy matters, trademark, copyright and advertising law, and general employment law (as applicable to outsourcing transactions). Ensure compliance with all applicable laws, regulations and policies. Participate in and influence the decision-making process with appropriate clients and stakeholders. Identify and assess legal risks and opportunities within and outside of the organization and advise accordingly. Independently handles legal matters and projects ranging from basic to complex. Recognizes when to elevate certain matters to the attention of the General Counsel. Supervise, manage and evaluate outside counsel, when necessary. Educate clients and stakeholders on legal matters, policies and procedures and creates and provides training. Advocate Power's interests in assigned matters. Establish and maintain relationships, credibility and trust with clients, stakeholders, legal team members and other colleagues. Perform other tasks and demonstrate a passion to learn new areas of the law, even those not related to transactions or commercial contracts, as assigned from time to time by the General Counsel. Ability to travel at times, including weekends.

Qualifications: Competence as a lawyer; ability to manage heavy workload in a high-pressure environment and reprioritize with little direction. The ability to competently manage multiple projects and transactions; project management skills; strong personal accountability, follow-up and initiative. Creative problem solving skills with the ability to propose solutions that are not only legally compliant, but consistent with business plans and strategies. Good communication (oral and written) and interpersonal skills within and across departments and externally; must be proactive in providing counsel to clients. Sound judgment; ability to clearly make reasoned recommendations; ability to cross think and determine who should be kept informed. Self-starter with developed business acumen and a sense of urgency, honesty and fairness. Team player, patient listener, and calm under pressure with an eagerness to take on assignments outside of assigned duties. Self-confident and inspires confidence from clients. Must have a JD degree from an accredited law school and admitted to practice in Pennsylvania. Must have a minimum of seven years of substantive corporate contracts and/or transactional experience with a corporate legal department or a nationally recognized law firm. Must have in-house experience of no less than 2 years. Must have experience in counseling clients on a variety of contractual and transactional experience. Committed to being a legal business partner to internal clients. Strong writing skills required. Strong communication skills required. Previous experience representing a sales organization, start-up or closely held company a plus.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Corporate Counsel
Refer job# NRND170355
 
Corporate Counsel Responsibilities: Review and manage deadlines for contract requests from various company departments. Analyze, evaluate, draft, and negotiate customer agreements, including master agreements, lease agreements, SaaS agreements, purchase agreements, non-disclosure agreements, distributor/reseller agreements, RFQs, government contracts, and partnership/strategic alliance agreements. Analyze, evaluate, draft, and negotiate commercial agreements for internal departments, including Fulfillment, Engineering, and Product Development. Support departmental process improvements relating to contracts. Engage with internal business units, such as Contract Administration, Trade Compliance, Sales, and Sales Support, to drive organizational growth.

Qualifications: J.D. degree and active state law license. 2-5 years of experience as a practicing attorney. Strong commercial/transactional experience. Excellent contract drafting skills. Highly motivated, thorough, and organized, with a dedication to excellence. Experience in technology products, SaaS software, and related services. Excellent communication and writing skills.
 
EMAIL TO COLLEAGUE  PERMALINK
 
 
Pennsylvania - Director, Investment Advisor Compliance
Refer job# 6MVT24097
 
Director, Investment Advisor Compliance
The candidate will be responsible for the oversight of the Funds' advisers' Rule 206(4)-7 compliance programs to ensure compliance with existing laws and regulations and to assist in responding to audits, examinations and similar regulatory inquiries related to the Funds and its advisers. Will report to the Vice President, CCO of the Funds and Advisers within the company's Enterprise Compliance organization. Responsible for the day-to-day implementation of the compliance programs of the Funds' advisers, including ongoing monitoring of compliance requirements, risk assessment analysis and corporate directives that impact the compliance programs. Provide compliance oversight with respect to mutual fund sub-advisers including both initial and ongoing due diligence. Develop thorough knowledge of sub-advisers' compliance framework and practices, assess and report on sub-advisers' compliance with applicable policies and procedures pertaining to management of the Hartford mutual funds. Exercise ongoing due diligence oversight of sub-advisers with respect to a broad range of compliance issues, including trading practices and commissions. Assist the Funds and Advisers CCO in preparing quarterly reporting to the Mutual Fund Board of Directors and an annual compliance report for the Advisers. Manage the compliance professional responsible for the monitoring of portfolio compliance for applicable portfolios using the Charles River compliance system and the administration of the mutual fund and advisers' code of ethics. Provide assistance in the execution of these duties as necessary. Assist in the preparation and review of various regulatory filings including Forms 13F, 13G and N-PX, and provide information and responses in connection with the mutual fund annual advisory contract 15(c) renewal. Responsible for the maintenance and filing of the Advisers' Forms ADV, both annually and in connection with material changes. Review and comment on shareholder reports (primarily MD&As), applicable portions of the prospectuses and SAIs, RFP, RFI and Questionnaire information, Fund holdings disclosure and other disclosures provided from time to time. Participate in and provide input at the Funds' Valuation Committee meetings, review valuation practices, and participate in due diligence reviews of valuation vendors. Provide other support for advisers' and funds' compliance programs, including supporting the Investment Adviser risk assessment process, incorporate, as appropriate, sample or forensic testing in assessments, implementing the Pay-to-Play requirements for HLIA and HIFSCO. Monitor changes to the federal securities laws that could require revisions to the policies and procedures, and to ensure that any required changes are communicated to the applicable business areas and are implemented accordingly.

The candidate should have a Bachelor's degree. Should preferably have an advanced degree or proven business acumen. J.D. degree, CPA or CFA strongly preferred. Must have 8+ years of compliance experience with expertise managing mutual fund and investment adviser compliance, preferably at a mutual fund company. Should have bBroad knowledge of US securities compliance, regulated business environments and key legal issues especially as they relate to trading, the investment process and the Investment Advisers Act of 1940 as applicable to institutional money managers.
 
EMAIL TO COLLEAGUE  PERMALINK
 
 

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