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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.
 
 

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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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.
 
EMAIL TO COLLEAGUE  PERMALINK
 
 

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