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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.
 
 

Vp, Corporate Counsel

Denver CO VP, Corporate Counsel The candidate will be a business partner to other departments, driving and/or supporting transactions, initiatives, projects and activities across our global organization. Research and provide advice on a wide range of matters, including commercial and business initiatives/transactions, global securities law and other regulatory compliance and general corporate legal affairs, policies and procedures for a publicly traded, global real estate investment trust and public and private ventures and funds. Draft, prepare and/or review SEC, NYSE and other regulatory reporting. Drive and/or assist with public and private debt and equity offerings, financings, M&A, and joint venture, fund, customer product, services and solutions and other commercial transactions. Support stock plan administration and executive compensation and benefits programs. Research and prepare governance materials and communications and assist with the management of our governance platform. Negotiate, draft and/or review contracts, correspondence, and other documents and provide advice on related matters. Review corporate, investor, marketing, media and other communications. Research and provide guidance regarding compliance, regulations, policies, procedures and other matters. Develop and manage team talent. Create and implement training across cross-functional and cross-regional teams. Efficiently manage internal and external resources. Set strategy and goals and track metrics for corporate legal department with CLO and legal management. Support corporate legal billing, tracking, budgeting, data analytics and system/process improvements. Support projects, activities, systems and management of corporate legal group and the office of the CLO. Juris Doctorate required, licensed and in good standing to practice law, 15+ years working experience as a corporate attorney--preferably with experience in a top tier national/international law firm and in-house in a publicly traded company with global operations. Experience in public company representation, securities offerings and compliance, corporate governance and executive compensation required. User-friendly, customer service-oriented and responsive. Practical with business acumen to strategically manage risk while achieving business goals. Strong interpersonal skills with ability to collaborate with individuals across departments and levels, including our board and senior leadership team. Critical thinker with strong analytical, problem-solving and research skills. Results-oriented with significant project, time and budget management experience. Proven track record of strong negotiation skills. Experienced and motivated to build team talent (including cross-regional and cross-functional teams). Builds trust with internal and external stakeholders. Exercises good judgment. Excellent written and verbal communication skills. Strong attention to detail. Focused on continuous improvement and efficiency. Professional with discretion to handle sensitive and confidential matters. Team player with a positive attitude, strong work ethic and good sense of humor, who acts with urgency, agility, humility and willingness to roll up sleeves to get jobs of all sizes done with exacting standards. Technology-proficient (e.g., Microsoft Word, Excel, PowerPoint and database management). Legal 15 - 0 Full-time 2023-01-25

Director, Sr Corporate Counsel

Denver CO Director, Sr Corporate Counsel The candidate will work on high priority strategic initiatives as part of the DVG team, working directly with senior leaders to bring new and innovative solutions into our enterprise. In particular, you will provide legal support for: DVG's venture capital investing in digital health startups, innovative care models, and life sciences companies. Fast-paced role within DaVita's innovation function, focused on driving new ways of doing things with external partners and creating the next generation of Kidney Care, Consistent exposure to DaVita senior leadership, A chance to help shape the next generation of healthcare for one of the largest healthcare services providers in the country, Performance-based rewards based on individual and team contributions, A comprehensive benefits package designed to enhance your health, your financial well-being and your future, Dedication, above all, to caring for patients suffering from chronic kidney failure across the nationDaVita's M&A to drive core business expansion and innovation in white spaces, Enterprise-level pharma contracts, Stakeholder strategy (e.g., physicians, payors, health systems), Partnerships with other healthcare companies to drive growth outside our core business. Should have Juris Doctorate degree with at least 6 years of work experience in corporate transactions / M&A / venture capital investing / tech transactions. At least one State Bar Admission and in good standing with the ability to waive into Colorado, if needed. Experience in life sciences or healthcare preferred, but not required. Strong communication skills: Ability to synthesize and convey complex legal and business issues with senior management. Strong interpersonal and leadership skills to build credibility as a "peer across all levels. Personal values in line with DaVita's core values of Service Excellence, Integrity, Team, Continuous Improvement, Accountability, Fulfillment & Fun. Problem solving skills: Ability to structure ambiguous problems, think creatively, generate and test hypotheses. Management skills: Ability to drive multiple pieces of work forward simultaneously. High energy and ability to work in a very fast-paced, team-oriented environment. Desire to be part of a fun, innovative, and hard-working team. Legal 6 - 0 Full-time 2023-01-23

Corporate Legal Counsel Director, M&a And Finance

Denver CO Corporate Legal Counsel Director, M&A and Finance The candidate will be leading and coordinating the structuring, negotiation, and execution of complex corporate transactions, including global M&A and capital markets transactions (including public and private securities offerings and debt transactions and related 1933 Act registration statements). Will be drafting, reviewing, and negotiating all relevant transaction documentation. Building processes around and managing all aspects of M&A transactions, including due diligence review, negotiations, and integration planning. Supporting the Treasury function with securitization facilities, derivatives, commercial paper, banking arrangements, etc. Advising on technology financing and funding arrangements. Maintaining corporate governance records and managing requirements for numerous domestic and foreign subsidiary entities while working collaboratively with team members in other global regions. Preparing and hosting training presentations on relevant topics. Assisting, as needed, with Exchange Act reports, including 10-K, 10-Q, 8-K, and proxy statement filings. Assisting, as needed, with the preparation and drafting of agendas and materials for meetings of the Board of Directors and its committees, including resolutions and minutes. Advising on ESG matters. Developing and refining policies, procedures, playbooks, templates, and other tools to improve efficiencies within the legal department. Other matters as appropriate.

The candidate should have 5 years of relevant corporate transactional legal experience (e.g., mergers and acquisitions, corporate finance, venture capital, or similar) in a top-tier law firm and/or corporate law department.mm expertise in structuring, negotiating and executing global transactions, including coordinating with other internal teams, managing due diligence, drafting transaction documents, strategically leading negotiations, and handling closings and integration matters. Should have a JD from a top-tier accredited law school and license to practice law in CO or any US jurisdiction.
Legal 5 - 0 Full-time 2023-01-04

Director, Corporate Counsel, Erisa

Denver CO Director, Corporate Counsel, ERISA Duties: Designing, drafting and implementing compensation arrangements for executives and employees, including nonqualified deferred compensation arrangements, incentive plans, severance plans, equity and equity-based incentive plans, and co-invest and carried interest plans; Handling all employee benefits aspects of M&A transactions for the Company, which include drafting and negotiating ERISA/Benefits provisions. Counseling on securities filings and disclosures as they relate to equity plans and compensation of senior executives. Representing the Company's benefit plan fiduciaries on plan investment issues including advising on ERISA issues in connection with alternative investments (e.g., hedge funds and private equity funds) and reviewing and negotiating investment documentation (e.g., adoption agreements, group annuity contracts, etc.); Representing the Company's group insurance business on ERISA issues related to the offering of various products including, but not limited to, life, disability, and various voluntary benefit offerings; Providing additional legal support to other business units and corporate areas on a project-by-project basis as necessary, which includes, but is not limited to, providing ERISA Title I and Internal Revenue Code advice to the institutional and retail businesses; Collaborating with other attorneys on tax, securities, and other related regulatory matters in connection with the support described above; and providing additional legal support to the Company's corporate centers and business units as necessary.

Qualifications: Law degree required. Admission to the bar of at least one state and eligibility for the NJ Corporate Counsel license if not admitted to the NJ bar. 3 years of relevant legal experience with specific experience in either executive compensation and ERISA Title I being strongly preferred; Superior interpersonal, organizational, written and oral communications skills and the ability to work independently and turn around documents promptly and accurately; Excellent judgment and high ethical standards; Strong project and time management skills; and the ability to balance multiple projects simultaneously and assess and prioritize work requirements.
Legal 3 - 0 Full-time 2023-01-04

Director, Corporate Counsel, Erisa

Denver CO Director, Corporate Counsel, ERISA Duties: Designing, drafting and implementing compensation arrangements for executives and employees, including nonqualified deferred compensation arrangements, incentive plans, severance plans, equity and equity-based incentive plans, and co-invest and carried interest plans; Handling all employee benefits aspects of M&A transactions for the Company, which include drafting and negotiating ERISA/Benefits provisions. Counseling on securities filings and disclosures as they relate to equity plans and compensation of senior executives. Representing the Company's benefit plan fiduciaries on plan investment issues including advising on ERISA issues in connection with alternative investments (e.g., hedge funds and private equity funds) and reviewing and negotiating investment documentation (e.g., adoption agreements, group annuity contracts, etc.); Representing the Company's group insurance business on ERISA issues related to the offering of various products including, but not limited to, life, disability, and various voluntary benefit offerings; Providing additional legal support to other business units and corporate areas on a project-by-project basis as necessary, which includes, but is not limited to, providing ERISA Title I and Internal Revenue Code advice to the institutional and retail businesses; Collaborating with other attorneys on tax, securities, and other related regulatory matters in connection with the support described above; and providing additional legal support to the Company's corporate centers and business units as necessary.

Qualifications: Law degree required. Admission to the bar of at least one state and eligibility for the NJ Corporate Counsel license if not admitted to the NJ bar. 3 years of relevant legal experience with specific experience in either executive compensation and ERISA Title I being strongly preferred; Superior interpersonal, organizational, written and oral communications skills and the ability to work independently and turn around documents promptly and accurately; Excellent judgment and high ethical standards; Strong project and time management skills; and the ability to balance multiple projects simultaneously and assess and prioritize work requirements.
Legal 3 - 0 Full-time 2023-01-04

Colorado - Attorney - Mutual Fund MarketPlace (Legal Counsel Director)

Denver CO Attorney - Mutual Fund MarketPlace (Legal Counsel Director)
The candidate will work as a member of a team providing legal and regulatory support for the distribution of company's affiliated funds on third-party intermediary platforms. Will review RFPs and negotiate selling agreements with third-party intermediary firms. Offer guidance and counsel on initiatives related to company's Mutual Fund MarketPlace, such as support of company's mutual fund clearing platform, which will include activities such as negotiation of clearing agreements, advising on and negotiating Mutual Fund MarketPlace agreements and supporting mutual fund platform and marketing. Will be expected to be a key member of the ongoing development and growth of company's ETF platform initiatives, such as support of the ETF Education Exchange. General responsibilities will also include advising on strategic project and product development initiatives; review and approval of fund marketing materials and sales activities; and performance of legal research and analysis.

The candidate should have a J.D. degree. Admission to a State Bar is strongly preferred. Must have 2+ years of legal experience (preferably at a law firm or investment advisory firm) in the securities industry concentrating in mutual fund and/or broker-dealer regulation. Should have working knowledge of the Investment Company Act of 1940 and the Securities Exchange Act of 1934.
Legal 2 - 4 Full-time 2013-02-21

Colorado - Senior Counsel

Littleton CO Senior Counsel
The candidate will be involved in the preparation of the company's SEC disclosure documents, support for various Board of Directors and governance matters, legal support for financing and other corporate transactions and equity compensation matters. Will draft and prepare non-financial portions of 1934 Act disclosure documents: 10-K, 10-Q, 8-K and proxy statement, and due diligence in connection with such filings, and any 1933 Act registration statements that the company may file. Advice on technical securities law and disclosure issues such as Regulation FD and Regulation G. Stay abreast of new legal and regulatory developments in securities law matters and advising management on the implications of the same. Advice with respect to insider trading issues and oversight of 16b reporting process. Draft and advice with respect to stock based compensation matters. Support governance matters including best practices research, proxy advisory service voting policies, responding to board questions. Support board presentations related to the foregoing matters. Support financing (bank and bond), M&A and other corporate transaction. Deal with other transactional, contract and corporate matters, as needed. Assist with other work within the department as needed such as compliance, procurement contracts, sales contracts and other contracts as needed.

The candidate should have a J.D. degree and be a member of a State Bar. Should become a member of the CO Bar, if not already a member. Must have 5-7 years of experience in securities law (some large law firm experience preferred), corporate and financing transactions, including detailed technical knowledge of SEC reporting requirements. Should be able to make presentations to the board of directors. Experience working with boards of directors preferred. Knowledge of the telecommunication industry helpful. Must be flexible and willing to learn other skills such as contracting and contract negotiation due to uneven nature of the securities and corporate workload.
Legal 5 - 7 Full-time 2013-01-30

Colorado - Senior Counsel

Denver CO Senior Counsel
The candidate will be involved in the preparation of the company's SEC disclosure documents, support for various Board of Directors and governance matters, legal support for financing and other corporate transactions and equity compensation matters. Will draft and prepare non-financial portions of 1934 Act disclosure documents: 10-K, 10-Q, 8-K and proxy statement, and due diligence in connection with such filings, and any 1933 Act registration statements that the company may file. Advice on technical securities law and disclosure issues such as Regulation FD and Regulation G. Stay abreast of new legal and regulatory developments in securities law matters and advising management on the implications of the same. Advice with respect to insider trading issues and oversight of 16b reporting process. Draft and advice with respect to stock based compensation matters. Support governance matters including best practices research, proxy advisory service voting policies, responding to board questions. Support board presentations related to the foregoing matters. Support financing (bank and bond), M&A and other corporate transaction. Deal with other transactional, contract and corporate matters, as needed. Assist with other work within the department as needed such as compliance, procurement contracts, sales contracts and other contracts as needed.

The candidate should have a J.D. degree and be a member of a State Bar. Should become a member of the CO Bar, if not already a member. Must have 5-7 years of experience in securities law (some large law firm experience preferred), corporate and financing transactions, including detailed technical knowledge of SEC reporting requirements. Should be able to make presentations to the board of directors. Experience working with boards of directors preferred. Knowledge of the telecommunication industry helpful. Must be flexible and willing to learn other skills such as contracting and contract negotiation due to uneven nature of the securities and corporate workload.
Legal 5 - 7 Full-time 2013-01-30

Colorado - Senior Counsel/Broker Dealer Compliance Officer

Denver CO Senior Counsel / Broker Dealer Compliance Officer
The candidate will provide continuing legal counsel to members of executive management pertaining to broker-dealer regulations and the rules of various exchanges, with a working knowledge of the Securities Exchange Act of 1934. Will respond to state or SEC inquiries, examinations, audits or allegations of sales practice violations as required. Conduct and oversee the required registration processes and the filing of required regulatory (notice) filings. Legal review of brochures and marketing materials for broker dealer operation. Day-to-day compliance and operational issues arising under the securities laws in general and the '40 Investment Advisers Act in particular. Risk-management audits and assessment of compliance, risk and related operational matters. Collaborate and partner with other in-house attorneys within the company to successfully complete tasks within the Company's core business areas. Design and implementation for broker dealer operation of asset management / investment advisory compliance manuals, policies and procedures. Prepare consent letters to clients and third-party service providers. Participate in the development of corporate policies, procedures and programs as it pertains to broker regualti0n and various exchanges, as well as the Securities Exchange Act of 1934. Assume responsibility for ensuring that the Company conducts its business in compliance with applicable laws and regulations. Participate in selecting, managing, and evaluating outside counsel. Coordinate information and communication between executive staff counsel. Develop contracts and other documents for the benefit of the company, Drafting of investment advisory/management agreements and contracts. Review contracts for accuracy and legal compliance. Provide feedback to the executive team regarding content and applicability of contracts.
The candidate should have a Bachelor's degree, J.D. degree and admission to the Colorado Bar (or admission to the Bar of another jurisdiction and the ability to obtain admission to the Colorado Bar within 6 months, and/or ability to obtain single client licensure). Must have 6+ years of experience in the practice of law, preferably both with law firms as well as in-house, with a concentration of experience in the financial services sector, although preference will be given to attorneys with more substantial experience. Knowledge of and/or exposure to the mortgage industry is preferred. Familiarity with broker-dealer regulations and the rules of various exchanges, as well as an understanding of the Securities Exchange Act of 1934, is required.
Legal 6 - 8 Full-time 2012-07-16
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Vp, Corporate Counsel
Refer job# NFTI172088
 
VP, Corporate Counsel The candidate will be a business partner to other departments, driving and/or supporting transactions, initiatives, projects and activities across our global organization. Research and provide advice on a wide range of matters, including commercial and business initiatives/transactions, global securities law and other regulatory compliance and general corporate legal affairs, policies and procedures for a publicly traded, global real estate investment trust and public and private ventures and funds. Draft, prepare and/or review SEC, NYSE and other regulatory reporting. Drive and/or assist with public and private debt and equity offerings, financings, M&A, and joint venture, fund, customer product, services and solutions and other commercial transactions. Support stock plan administration and executive compensation and benefits programs. Research and prepare governance materials and communications and assist with the management of our governance platform. Negotiate, draft and/or review contracts, correspondence, and other documents and provide advice on related matters. Review corporate, investor, marketing, media and other communications. Research and provide guidance regarding compliance, regulations, policies, procedures and other matters. Develop and manage team talent. Create and implement training across cross-functional and cross-regional teams. Efficiently manage internal and external resources. Set strategy and goals and track metrics for corporate legal department with CLO and legal management. Support corporate legal billing, tracking, budgeting, data analytics and system/process improvements. Support projects, activities, systems and management of corporate legal group and the office of the CLO. Juris Doctorate required, licensed and in good standing to practice law, 15+ years working experience as a corporate attorney--preferably with experience in a top tier national/international law firm and in-house in a publicly traded company with global operations. Experience in public company representation, securities offerings and compliance, corporate governance and executive compensation required. User-friendly, customer service-oriented and responsive. Practical with business acumen to strategically manage risk while achieving business goals. Strong interpersonal skills with ability to collaborate with individuals across departments and levels, including our board and senior leadership team. Critical thinker with strong analytical, problem-solving and research skills. Results-oriented with significant project, time and budget management experience. Proven track record of strong negotiation skills. Experienced and motivated to build team talent (including cross-regional and cross-functional teams). Builds trust with internal and external stakeholders. Exercises good judgment. Excellent written and verbal communication skills. Strong attention to detail. Focused on continuous improvement and efficiency. Professional with discretion to handle sensitive and confidential matters. Team player with a positive attitude, strong work ethic and good sense of humor, who acts with urgency, agility, humility and willingness to roll up sleeves to get jobs of all sizes done with exacting standards. Technology-proficient (e.g., Microsoft Word, Excel, PowerPoint and database management).
 
EMAIL TO COLLEAGUE  PERMALINK
 
Director, Sr Corporate Counsel
Refer job# JJVP172070
 
Director, Sr Corporate Counsel The candidate will work on high priority strategic initiatives as part of the DVG team, working directly with senior leaders to bring new and innovative solutions into our enterprise. In particular, you will provide legal support for: DVG's venture capital investing in digital health startups, innovative care models, and life sciences companies. Fast-paced role within DaVita's innovation function, focused on driving new ways of doing things with external partners and creating the next generation of Kidney Care, Consistent exposure to DaVita senior leadership, A chance to help shape the next generation of healthcare for one of the largest healthcare services providers in the country, Performance-based rewards based on individual and team contributions, A comprehensive benefits package designed to enhance your health, your financial well-being and your future, Dedication, above all, to caring for patients suffering from chronic kidney failure across the nationDaVita's M&A to drive core business expansion and innovation in white spaces, Enterprise-level pharma contracts, Stakeholder strategy (e.g., physicians, payors, health systems), Partnerships with other healthcare companies to drive growth outside our core business. Should have Juris Doctorate degree with at least 6 years of work experience in corporate transactions / M&A / venture capital investing / tech transactions. At least one State Bar Admission and in good standing with the ability to waive into Colorado, if needed. Experience in life sciences or healthcare preferred, but not required. Strong communication skills: Ability to synthesize and convey complex legal and business issues with senior management. Strong interpersonal and leadership skills to build credibility as a "peer across all levels. Personal values in line with DaVita's core values of Service Excellence, Integrity, Team, Continuous Improvement, Accountability, Fulfillment & Fun. Problem solving skills: Ability to structure ambiguous problems, think creatively, generate and test hypotheses. Management skills: Ability to drive multiple pieces of work forward simultaneously. High energy and ability to work in a very fast-paced, team-oriented environment. Desire to be part of a fun, innovative, and hard-working team.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Corporate Legal Counsel Director, M&a And Finance
Refer job# FSOW171881
 
Corporate Legal Counsel Director, M&A and Finance The candidate will be leading and coordinating the structuring, negotiation, and execution of complex corporate transactions, including global M&A and capital markets transactions (including public and private securities offerings and debt transactions and related 1933 Act registration statements). Will be drafting, reviewing, and negotiating all relevant transaction documentation. Building processes around and managing all aspects of M&A transactions, including due diligence review, negotiations, and integration planning. Supporting the Treasury function with securitization facilities, derivatives, commercial paper, banking arrangements, etc. Advising on technology financing and funding arrangements. Maintaining corporate governance records and managing requirements for numerous domestic and foreign subsidiary entities while working collaboratively with team members in other global regions. Preparing and hosting training presentations on relevant topics. Assisting, as needed, with Exchange Act reports, including 10-K, 10-Q, 8-K, and proxy statement filings. Assisting, as needed, with the preparation and drafting of agendas and materials for meetings of the Board of Directors and its committees, including resolutions and minutes. Advising on ESG matters. Developing and refining policies, procedures, playbooks, templates, and other tools to improve efficiencies within the legal department. Other matters as appropriate.

The candidate should have 5 years of relevant corporate transactional legal experience (e.g., mergers and acquisitions, corporate finance, venture capital, or similar) in a top-tier law firm and/or corporate law department.mm expertise in structuring, negotiating and executing global transactions, including coordinating with other internal teams, managing due diligence, drafting transaction documents, strategically leading negotiations, and handling closings and integration matters. Should have a JD from a top-tier accredited law school and license to practice law in CO or any US jurisdiction.
 
EMAIL TO COLLEAGUE  PERMALINK
 
 
Director, Corporate Counsel, Erisa
Refer job# QFKV171914
 
Director, Corporate Counsel, ERISA Duties: Designing, drafting and implementing compensation arrangements for executives and employees, including nonqualified deferred compensation arrangements, incentive plans, severance plans, equity and equity-based incentive plans, and co-invest and carried interest plans; Handling all employee benefits aspects of M&A transactions for the Company, which include drafting and negotiating ERISA/Benefits provisions. Counseling on securities filings and disclosures as they relate to equity plans and compensation of senior executives. Representing the Company's benefit plan fiduciaries on plan investment issues including advising on ERISA issues in connection with alternative investments (e.g., hedge funds and private equity funds) and reviewing and negotiating investment documentation (e.g., adoption agreements, group annuity contracts, etc.); Representing the Company's group insurance business on ERISA issues related to the offering of various products including, but not limited to, life, disability, and various voluntary benefit offerings; Providing additional legal support to other business units and corporate areas on a project-by-project basis as necessary, which includes, but is not limited to, providing ERISA Title I and Internal Revenue Code advice to the institutional and retail businesses; Collaborating with other attorneys on tax, securities, and other related regulatory matters in connection with the support described above; and providing additional legal support to the Company's corporate centers and business units as necessary.

Qualifications: Law degree required. Admission to the bar of at least one state and eligibility for the NJ Corporate Counsel license if not admitted to the NJ bar. 3 years of relevant legal experience with specific experience in either executive compensation and ERISA Title I being strongly preferred; Superior interpersonal, organizational, written and oral communications skills and the ability to work independently and turn around documents promptly and accurately; Excellent judgment and high ethical standards; Strong project and time management skills; and the ability to balance multiple projects simultaneously and assess and prioritize work requirements.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Director, Corporate Counsel, Erisa
Refer job# REGK171942
 
Director, Corporate Counsel, ERISA Duties: Designing, drafting and implementing compensation arrangements for executives and employees, including nonqualified deferred compensation arrangements, incentive plans, severance plans, equity and equity-based incentive plans, and co-invest and carried interest plans; Handling all employee benefits aspects of M&A transactions for the Company, which include drafting and negotiating ERISA/Benefits provisions. Counseling on securities filings and disclosures as they relate to equity plans and compensation of senior executives. Representing the Company's benefit plan fiduciaries on plan investment issues including advising on ERISA issues in connection with alternative investments (e.g., hedge funds and private equity funds) and reviewing and negotiating investment documentation (e.g., adoption agreements, group annuity contracts, etc.); Representing the Company's group insurance business on ERISA issues related to the offering of various products including, but not limited to, life, disability, and various voluntary benefit offerings; Providing additional legal support to other business units and corporate areas on a project-by-project basis as necessary, which includes, but is not limited to, providing ERISA Title I and Internal Revenue Code advice to the institutional and retail businesses; Collaborating with other attorneys on tax, securities, and other related regulatory matters in connection with the support described above; and providing additional legal support to the Company's corporate centers and business units as necessary.

Qualifications: Law degree required. Admission to the bar of at least one state and eligibility for the NJ Corporate Counsel license if not admitted to the NJ bar. 3 years of relevant legal experience with specific experience in either executive compensation and ERISA Title I being strongly preferred; Superior interpersonal, organizational, written and oral communications skills and the ability to work independently and turn around documents promptly and accurately; Excellent judgment and high ethical standards; Strong project and time management skills; and the ability to balance multiple projects simultaneously and assess and prioritize work requirements.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Colorado - Attorney - Mutual Fund MarketPlace (Legal Counsel Director)
Refer job# QVYR25633
 
Attorney - Mutual Fund MarketPlace (Legal Counsel Director)
The candidate will work as a member of a team providing legal and regulatory support for the distribution of company's affiliated funds on third-party intermediary platforms. Will review RFPs and negotiate selling agreements with third-party intermediary firms. Offer guidance and counsel on initiatives related to company's Mutual Fund MarketPlace, such as support of company's mutual fund clearing platform, which will include activities such as negotiation of clearing agreements, advising on and negotiating Mutual Fund MarketPlace agreements and supporting mutual fund platform and marketing. Will be expected to be a key member of the ongoing development and growth of company's ETF platform initiatives, such as support of the ETF Education Exchange. General responsibilities will also include advising on strategic project and product development initiatives; review and approval of fund marketing materials and sales activities; and performance of legal research and analysis.

The candidate should have a J.D. degree. Admission to a State Bar is strongly preferred. Must have 2+ years of legal experience (preferably at a law firm or investment advisory firm) in the securities industry concentrating in mutual fund and/or broker-dealer regulation. Should have working knowledge of the Investment Company Act of 1940 and the Securities Exchange Act of 1934.
 
EMAIL TO COLLEAGUE  PERMALINK
 
 
Colorado - Senior Counsel
Refer job# K7PH25406
 
Senior Counsel
The candidate will be involved in the preparation of the company's SEC disclosure documents, support for various Board of Directors and governance matters, legal support for financing and other corporate transactions and equity compensation matters. Will draft and prepare non-financial portions of 1934 Act disclosure documents: 10-K, 10-Q, 8-K and proxy statement, and due diligence in connection with such filings, and any 1933 Act registration statements that the company may file. Advice on technical securities law and disclosure issues such as Regulation FD and Regulation G. Stay abreast of new legal and regulatory developments in securities law matters and advising management on the implications of the same. Advice with respect to insider trading issues and oversight of 16b reporting process. Draft and advice with respect to stock based compensation matters. Support governance matters including best practices research, proxy advisory service voting policies, responding to board questions. Support board presentations related to the foregoing matters. Support financing (bank and bond), M&A and other corporate transaction. Deal with other transactional, contract and corporate matters, as needed. Assist with other work within the department as needed such as compliance, procurement contracts, sales contracts and other contracts as needed.

The candidate should have a J.D. degree and be a member of a State Bar. Should become a member of the CO Bar, if not already a member. Must have 5-7 years of experience in securities law (some large law firm experience preferred), corporate and financing transactions, including detailed technical knowledge of SEC reporting requirements. Should be able to make presentations to the board of directors. Experience working with boards of directors preferred. Knowledge of the telecommunication industry helpful. Must be flexible and willing to learn other skills such as contracting and contract negotiation due to uneven nature of the securities and corporate workload.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Colorado - Senior Counsel
Refer job# H1BH25407
 
Senior Counsel
The candidate will be involved in the preparation of the company's SEC disclosure documents, support for various Board of Directors and governance matters, legal support for financing and other corporate transactions and equity compensation matters. Will draft and prepare non-financial portions of 1934 Act disclosure documents: 10-K, 10-Q, 8-K and proxy statement, and due diligence in connection with such filings, and any 1933 Act registration statements that the company may file. Advice on technical securities law and disclosure issues such as Regulation FD and Regulation G. Stay abreast of new legal and regulatory developments in securities law matters and advising management on the implications of the same. Advice with respect to insider trading issues and oversight of 16b reporting process. Draft and advice with respect to stock based compensation matters. Support governance matters including best practices research, proxy advisory service voting policies, responding to board questions. Support board presentations related to the foregoing matters. Support financing (bank and bond), M&A and other corporate transaction. Deal with other transactional, contract and corporate matters, as needed. Assist with other work within the department as needed such as compliance, procurement contracts, sales contracts and other contracts as needed.

The candidate should have a J.D. degree and be a member of a State Bar. Should become a member of the CO Bar, if not already a member. Must have 5-7 years of experience in securities law (some large law firm experience preferred), corporate and financing transactions, including detailed technical knowledge of SEC reporting requirements. Should be able to make presentations to the board of directors. Experience working with boards of directors preferred. Knowledge of the telecommunication industry helpful. Must be flexible and willing to learn other skills such as contracting and contract negotiation due to uneven nature of the securities and corporate workload.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Colorado - Senior Counsel/Broker Dealer Compliance Officer
Refer job# G9NK22303
 
Senior Counsel / Broker Dealer Compliance Officer
The candidate will provide continuing legal counsel to members of executive management pertaining to broker-dealer regulations and the rules of various exchanges, with a working knowledge of the Securities Exchange Act of 1934. Will respond to state or SEC inquiries, examinations, audits or allegations of sales practice violations as required. Conduct and oversee the required registration processes and the filing of required regulatory (notice) filings. Legal review of brochures and marketing materials for broker dealer operation. Day-to-day compliance and operational issues arising under the securities laws in general and the '40 Investment Advisers Act in particular. Risk-management audits and assessment of compliance, risk and related operational matters. Collaborate and partner with other in-house attorneys within the company to successfully complete tasks within the Company's core business areas. Design and implementation for broker dealer operation of asset management / investment advisory compliance manuals, policies and procedures. Prepare consent letters to clients and third-party service providers. Participate in the development of corporate policies, procedures and programs as it pertains to broker regualti0n and various exchanges, as well as the Securities Exchange Act of 1934. Assume responsibility for ensuring that the Company conducts its business in compliance with applicable laws and regulations. Participate in selecting, managing, and evaluating outside counsel. Coordinate information and communication between executive staff counsel. Develop contracts and other documents for the benefit of the company, Drafting of investment advisory/management agreements and contracts. Review contracts for accuracy and legal compliance. Provide feedback to the executive team regarding content and applicability of contracts.
The candidate should have a Bachelor's degree, J.D. degree and admission to the Colorado Bar (or admission to the Bar of another jurisdiction and the ability to obtain admission to the Colorado Bar within 6 months, and/or ability to obtain single client licensure). Must have 6+ years of experience in the practice of law, preferably both with law firms as well as in-house, with a concentration of experience in the financial services sector, although preference will be given to attorneys with more substantial experience. Knowledge of and/or exposure to the mortgage industry is preferred. Familiarity with broker-dealer regulations and the rules of various exchanges, as well as an understanding of the Securities Exchange Act of 1934, is required.
 
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