Investment Funds/Asset Management – Senior Counsel

Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment — one focused on helping people look forward and plan for the best life possible while providing tools and solutions that make it easier to get there. 

Who We Are 

What We Do 

Responsibilities 

• Provide legal advice and support regarding the development and formation of collective investment funds, separate accounts and similar investment vehicles, including assistance with due diligence, preparation of materials to board of directors/trustee and its committees, and preparation or review of subscription, marketing  and disclosure materials  

• Prepare, review and negotiate legal contacts, documents and agreements, such as advisory agreements, subscription/adoption agreements, intermediary/trading agreements, selling/distribution agreements, platform agreements 

• Provide legal support to Transamerica distribution businesses, including broker-dealer and investment adviser entities 

• Advise clients on regulatory compliance issues related to collective investment funds, separate accounts, and investment funds, including SEC, CFTC, and OCC regulations, as well as other relevant legal frameworks 

• Monitor, review and interpret relevant securities laws, rules and regulations and keep clients and colleagues informed of the potential impact on the Savings and Investments businesses 

• Conduct legal research and provide strategic advice on corporate and investment fund matters 

• Work on complex legal issues where analysis requires identification and evaluation of multiple factors 

• Participate in and lead departmental and cross-functional working groups in identified areas of legal expertise or development 

Qualifications 

• JD from an ABA accredited law school 

• Licensed or eligible to practice in a US jurisdiction 

• Five years of relevant legal experience required on investment company and investment management matters and/or collective trust fund matters, with knowledge of relevant laws (e.g., FINRA Rules, Securities Act, Exchange Act, Investment Advisers Act, Investment Company Act)  

• Knowledge of ERISA preferred but not required 

• Ability to effectively communicate, both written and oral, with the intended audience 

• Ability to exercise sound judgment in a fast paced environment 

• Ability to exercise agility and adaptability in providing legal advice 

• Comfortable in a rapidly changing corporate environment 

• Proficient using MS Office 

• Good organizational and project management skills with an ability to work autonomously and manage multiple priorities 

• Action oriented, timely and organized with ability to prioritize workload with high degree of accuracy and attention to detail 

Working Conditions 

• Remote working environment 

• Occasional travel to meet with leaders or direct reports 

• *Please note that the compensation information that follows is a good faith estimate for this position only and is provided pursuant to applicable pay transparency and compensation posting laws. It is estimated based on what a successful candidate might be paid in certain Company locations.**  

Compensation: 

The salary for this position generally ranges between $144,000-$155,000. This range is an estimate, based on potential employee qualifications, operational needs and other considerations permitted by law. The range may vary above and below the stated amounts, as permitted by Colorado Equal Pay Transparency Rule 4.1.2. 

Bonus Eligibility:  

This position is also typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at Company Discretion. 

This job description is not a contract of employment nor for any specific job responsibilities. The Company may change, add to, remove, or revoke the terms of this job description at its discretion. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation in order to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request. 

• Competitive Pay 

• Bonus for Eligible Employees 

Benefits Package 

• Pension Plan 

• 401k Match

• Employee Stock Purchase Plan

• Tuition Reimbursement

• Disability Insurance

• Medical Insurance

• Dental Insurance

• Vision Insurance

• Employee Discounts

• Career Training & Development Opportunities

Health and Work/Life Balance Benefits 

• Paid Time Off starting at 160 hours annually for employees in their first year of service.

• Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).

• Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars 

• Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.

• Adoption Assistance

• Employee Assistance Program

• College Coach Program

• Back-Up Care Program

• PTO for Volunteer Hours

• Employee Matching Gifts Program

• Employee Resource Groups

• Inclusion and Diversity Programs

• Employee Recognition Program

• Referral Bonus Programs

Inclusion & Diversity  

We believe our commitment to diversity and inclusion creates a work environment filled with exceptional individuals. We’re thrilled to have been recognized for our efforts through the Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including the Inclusion Index, 100 Best Companies for Working Parents, Best Companies for Dads, and Top 75 Companies for Executive Women. 

To foster a culture of inclusivity throughout our workforce, workplace, and marketplace, Transamerica offers a wide range of diversity and inclusion programs. This includes our company-sponsored, employee-driven Employee Resource Groups (ERGs), which are formed around a shared interest or a common characteristic of diversity. ERGs are open to all employees. They provide a supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all. 

Giving Back  

We believe our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation in 1994. Through a mix of financial grants and the volunteer efforts of our employees, the foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work.     

Transamerica’s Parent Company  

Aegon acquired the Transamerica business in 1999. Since its start in 1844, Aegon has  grown into an international company serving more than 23.9 million people across the globe.* It offers investment, protection, and retirement solutions, always with a clear purpose: Helping people live their best lives. As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity.   

* As of December 31, 2023