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Wellington Management · 2 days ago

Counsel

New York, NY

Full-time

Hybrid

Mid, Senior Level

$120K/yr - $225K/yr

5+ years exp

Wellington Management offers comprehensive investment management capabilities, and they are seeking a highly motivated and collaborative lawyer to join their Legal team as Counsel. This role will provide legal coverage for client-facing distribution activities, focusing largely on the U.S. wealth channel and related strategic initiatives.

AdviceAsset ManagementFinanceFinancial ServicesInsurance

H1B Sponsor Likely

Responsibilities

Advising on regulatory issues relevant to our U.S. client-facing business, including SEC, CFTC, FINRA, NFA requirements

Advising on activities of limited-scope broker / dealer and retail-adjacent activities of our investment adviser, including licensing, marketing, and disclosure rules

Assisting in drafting and negotiating distribution and service agreements with intermediaries

Advising on matters related to U.S. distribution of registered funds

Working with Compliance on regulatory engagement and regulatory examinations

Collaborating with Compliance, Client teams, and Operations to ensure legal and regulatory risk is appropriately managed in commercial negotiations and in supporting business activities

Monitoring legal and regulatory developments and assessing their impact

Additional responsibilities may include working on Wellington-sponsored funds or negotiating complex client mandates, depending upon business needs and the background of the successful candidate

Qualification

J.D.Equivalent law degree5–10 years legal experienceInvestment Company Act knowledgeSecurities Exchange Act knowledgeWealth initiatives experienceDrafting skillsAnalytical skillsManage prioritiesCommunication skills

Required

J.D. or equivalent law degree; admitted to practice in at least one U.S. jurisdiction

5–10 years of relevant legal experience, ideally with some experience in asset management or financial services

Understanding of and experience working with the Investment Company Act of 1940, the Investment Advisers Act of 1940, and the Securities Exchange Act of 1934

Strong understanding of complex legal and regulatory issues

Excellent drafting, analytical, and communication skills

Ability to manage multiple priorities and work independently in a fast-paced, collaborative environment

Preferred

Experience with legal support of Wealth initiatives preferred (e.g., marketing, limited-scope broker/dealer support, U.S. retail fund distribution, interval funds, tender offer funds)

Benefits

Discretionary Corporate Bonus and/ or Incentives

Retirement plan

Health and wellbeing

Dental

Vision

Pharmacy coverage

Health savings account

Flexible spending accounts

Commuter program

Employee assistance program

Life and disability insurance

Adoption assistance

Back-up childcare

Tuition/CFA reimbursement

Paid time off (leave of absence, paid holidays, volunteer, sick and vacation time)

Company

Wellington Management

Glassdoor4.1

Wellington Management focuses on investment management by applying its resources to meet the needs of the institutional clients it serves.

Founded in 1933

Boston, Massachusetts, USA

1001-5000 employees

http://wellington.com

H1B Sponsorship

Wellington Management has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Represents job field similar to this job

Trends of Total Sponsorships

2025 (79)

2024 (52)

2023 (62)

2022 (91)

2021 (82)

2020 (62)