Legal & Regulatory Counsel

Boston, Massachusetts, United States | Full-time

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The Colony Group seeks a motivated and qualified individual for the position of Legal & Regulatory Counsel. The individual selected for this opportunity will have the highest ethical and professional standards of excellence and be dedicated to service of others.  The Legal & Regulatory Counsel will provide the primary source of legal support to the company and continue to develop the legal and compliance team to enhance support for the company’s Legal and Compliance team, the Chief Executive Officer, and extended management team.

Primary responsibilities of the position include:

  • Company compliance with all federal, state, and local laws and regulations.
    • Securities laws and the provision of investment advisory services (in coordination with CCO)
    • Privacy and cybersecurity (e.g., CCPA, GDPR, state security laws)
    • Entity-level filings
  • Support the Chief Compliance Officer regarding the compliance program for a multi-office, national firm, which may include, but is not limited to:
    • Consulting with the CCO and Deputy General Counsel on new and modified policies and procedures; keep existing policies and procedures up-to-date
    • Assisting in initial employee compliance trainings; performing ongoing trainings and communications; respond to advisor requests and questions
    • Reviewing marketing materials and RFPs
    • Maintaining responsibility for client contract templates; draft custom client contracts
    • Drafting paid referral contracts; oversee such arrangements for legal compliance
    • Assisting with third-party audits: billing, custody, SEC
    • Assisting with ADV updates
    • Performing testing required by the Investment Advisors Act and maintaining the testing program
    • Assisting Compliance Associate with regard to Schwab Compliance Technologies, and employee reporting, Global Relay archive and employee monitoring, billing & custody audits, CRM
    • Client contracts
  • Support the Deputy General Counsel to develop mastery over all legal matters required of operating a national investment advisory firm.
    • Privacy and cybersecurity policies and communications
    • Company filings
    • Draft and review legal documents
      • Employment-related and consulting agreements (offers, restrictive covenant agreements, terminations, notices)
      • NDAs
      • Vendor contracts
    • ERISA compliance of the company’s 401(k)
  • Assist with mergers and acquisitions.
    • Diligence
    • Closing requirements
    • Integration of legal, contracts, employment, compliance and other matters
  • Interact with outside counsel.
  • Participate in continuing education and legal matters to stay current with industry practices and standards.

 

The position requires:

  • Juris Doctor degree or working towards;
  • Bar Association Membership in good standing (preferably in MA, NY or CA);
  • 3+ years of relevant experience;
  • Expertise in securities law compliance
  • The proven ability to exercise both business and legal judgment;
  • Superior integrity, judgment, and discretion;
  • Excellent written and verbal communication skills;
  • Notable attention to detail, self-initiated follow-through, and outstanding time management and organizational skills; and
  • Ability to work in a fast-paced environment and to juggle multiple and competing tasks and demands.