Constellation
Vice President, Chief Legal Officer
Constellation, Cincinnati, Indiana, United States,
At the
Constellation Insurance
family of companies, we are committed to fostering a workplace
where diversity, inclusivity and equity
are celebrated.
If you're passionate about our mission but don't perfectly fit every requirement, we encourage you to apply - your unique skills and experiences could make you the perfect fit for this role or others within our organization.
What you will be doingThe Chief Legal Officer (CLO) will act as the principal legal advisor to Constellation Investments, guiding the organization through complex legal landscapes. This role involves overseeing all legal aspects of our operations, with a particular emphasis on separate and general accounts. The CLO will be instrumental in ensuring compliance with regulatory requirements, particularly those enforced by the SEC (Securities and Exchange Commission) and FINRA and will proactively manage legal risks. This individual will also provide strategic legal counsel to align with and advance the company's business goals.
Key Responsibilities:Legal Advisory & Regulatory Compliance:
Expert in Investment Law providing strategic legal advice to the investments' executive team and Board of Directors on matters related to securities, investment funds, and general account management.
Legal oversight for general account management, monitoring investment activities. Secondarily, monitoring investment activities of separate accounts.
Responsible for ensuring the company complies with all applicable laws, regulations, and industry standards in the financial services sector, particularly in securities, investment management, and corporate governance, leading the Chief Compliance Officer and the General Counsel of the investment management company of the organization.
Oversee compliance with federal, state, and international regulations, including the Investment Company Act of 1940, SEC, FINRA, and other relevant regulatory bodies.
Structure complex and sophisticated investment transactions being able to review all related legal documentation, including transactions involving asset managers, institutional investors, and investment funds.
Assist the leadership team providing legal advice in matters associated with sourcing assets, raising capital, structuring side cars, and developing other investment strategies.
Prepare and review regulatory filings, including registration statements for insurance carriers and other companies with open-end mutual funds (the "Fund") on Form N-1A.
Advise the Fund's board of directors on governance matters and assist in planning the Fund's board meetings and preparing materials and minutes for board meetings.
Develop and implement the company's legal strategy in alignment with business goals at an enterprise level.
Liaise with regulatory bodies and manage any interactions, including audits and investigations.
Monitor and provide advice on changes in securities and financial regulations, ensuring the company adapts to new legal requirements.
Contract Management:
Oversee the draft, review, and negotiation of complex 3rd party agreements, including fund formation/administration documents, investment management agreements, and service provider contracts.
Establish contracts for seeding asset management service providers.
Manage contractual risks, ensuring alignment with business objectives.
Risk Management:
Identify and mitigate legal risks related to financial products, particularly in securities and funds.
Develop policies to ensure regulatory compliance and reduce legal risks.
Litigation & Dispute Resolution:
Oversee litigation, manage external counsel, and represent the company in legal proceedings.
Team Leadership:
Lead and mentor the legal and compliance team, fostering a culture of excellence.
Collaborate with cross-functional teams to align legal guidance with business strategies.
What Benefits Await YouAt
Constellation,
we believe in rewarding our associates for their hard work. Here's what you can expect:
Competitive Compensation:
Your hard work deserves fair and competitive pay.
Comprehensive Healthcare:
Enjoy peace of mind with medical, dental, and vision coverage from your first day.
Secure Your Future:
Take advantage of our generous 401(k) matching program to build your nest egg.
Support for Growing Families:
Receive support during one of life's most significant moments which include paid parental leave and financial reimbursement for adoption and surrogacy related expenses.
Invest in Yourself:
We're committed to your growth. Get support for your education with tuition reimbursement.
Work-Life Balance:
Enjoy flexibility with our accommodating time-off policy, so you can recharge and pursue your passions outside of work.
What Sets You Up for Success
Juris Doctor (JD)
from an accredited law school, with active membership and good standing in a state bar.
7+ years of legal experience
with a strong focus on securities law, investment funds, and financial services.
Expert knowledge
of federal securities laws and regulations.
Strong negotiation, communication, and interpersonal skills.
Ability to thrive in a
fast-paced environment , manage multiple priorities, and deliver practical, business-oriented legal advice.
Compensation$160-$200k
#J-18808-Ljbffr
Constellation Insurance
family of companies, we are committed to fostering a workplace
where diversity, inclusivity and equity
are celebrated.
If you're passionate about our mission but don't perfectly fit every requirement, we encourage you to apply - your unique skills and experiences could make you the perfect fit for this role or others within our organization.
What you will be doingThe Chief Legal Officer (CLO) will act as the principal legal advisor to Constellation Investments, guiding the organization through complex legal landscapes. This role involves overseeing all legal aspects of our operations, with a particular emphasis on separate and general accounts. The CLO will be instrumental in ensuring compliance with regulatory requirements, particularly those enforced by the SEC (Securities and Exchange Commission) and FINRA and will proactively manage legal risks. This individual will also provide strategic legal counsel to align with and advance the company's business goals.
Key Responsibilities:Legal Advisory & Regulatory Compliance:
Expert in Investment Law providing strategic legal advice to the investments' executive team and Board of Directors on matters related to securities, investment funds, and general account management.
Legal oversight for general account management, monitoring investment activities. Secondarily, monitoring investment activities of separate accounts.
Responsible for ensuring the company complies with all applicable laws, regulations, and industry standards in the financial services sector, particularly in securities, investment management, and corporate governance, leading the Chief Compliance Officer and the General Counsel of the investment management company of the organization.
Oversee compliance with federal, state, and international regulations, including the Investment Company Act of 1940, SEC, FINRA, and other relevant regulatory bodies.
Structure complex and sophisticated investment transactions being able to review all related legal documentation, including transactions involving asset managers, institutional investors, and investment funds.
Assist the leadership team providing legal advice in matters associated with sourcing assets, raising capital, structuring side cars, and developing other investment strategies.
Prepare and review regulatory filings, including registration statements for insurance carriers and other companies with open-end mutual funds (the "Fund") on Form N-1A.
Advise the Fund's board of directors on governance matters and assist in planning the Fund's board meetings and preparing materials and minutes for board meetings.
Develop and implement the company's legal strategy in alignment with business goals at an enterprise level.
Liaise with regulatory bodies and manage any interactions, including audits and investigations.
Monitor and provide advice on changes in securities and financial regulations, ensuring the company adapts to new legal requirements.
Contract Management:
Oversee the draft, review, and negotiation of complex 3rd party agreements, including fund formation/administration documents, investment management agreements, and service provider contracts.
Establish contracts for seeding asset management service providers.
Manage contractual risks, ensuring alignment with business objectives.
Risk Management:
Identify and mitigate legal risks related to financial products, particularly in securities and funds.
Develop policies to ensure regulatory compliance and reduce legal risks.
Litigation & Dispute Resolution:
Oversee litigation, manage external counsel, and represent the company in legal proceedings.
Team Leadership:
Lead and mentor the legal and compliance team, fostering a culture of excellence.
Collaborate with cross-functional teams to align legal guidance with business strategies.
What Benefits Await YouAt
Constellation,
we believe in rewarding our associates for their hard work. Here's what you can expect:
Competitive Compensation:
Your hard work deserves fair and competitive pay.
Comprehensive Healthcare:
Enjoy peace of mind with medical, dental, and vision coverage from your first day.
Secure Your Future:
Take advantage of our generous 401(k) matching program to build your nest egg.
Support for Growing Families:
Receive support during one of life's most significant moments which include paid parental leave and financial reimbursement for adoption and surrogacy related expenses.
Invest in Yourself:
We're committed to your growth. Get support for your education with tuition reimbursement.
Work-Life Balance:
Enjoy flexibility with our accommodating time-off policy, so you can recharge and pursue your passions outside of work.
What Sets You Up for Success
Juris Doctor (JD)
from an accredited law school, with active membership and good standing in a state bar.
7+ years of legal experience
with a strong focus on securities law, investment funds, and financial services.
Expert knowledge
of federal securities laws and regulations.
Strong negotiation, communication, and interpersonal skills.
Ability to thrive in a
fast-paced environment , manage multiple priorities, and deliver practical, business-oriented legal advice.
Compensation$160-$200k
#J-18808-Ljbffr