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Attorney - Investment Management Capital Markets

Charlotte, North Carolina;

Job Description:

Provides general legal counsel to AMGs investment management business as well as specific advice on products services and certain legal actions. Reviews legal contracts and documents. Directly or through staff conducts legal research. May represent the bank in legal actions. Individuals in this position typically have a minimum of six years of experience since admission to the Bar.

Primary responsibilities include:

  • Providing legal support to the GWIM Investment Solutions Group’s Capital Markets and broker-dealer businesses.

  • Advising on public offerings and private placements of a range of capital markets investments.

  • Advising on transactions in a variety of financial instruments, including equities, corporate debt, structured products, unit investment trusts, closed-end funds, exchange funds, over-the-counter derivatives, and other investment vehicles.

  • Advising on secondary market trading matters, including broker-dealers’ regulatory reporting, regulatory disclosures, settlement and short position obligations, margin requirements, and best execution obligations.

  • Advising on offerings of investment products to retail customers, including broker-dealers’ obligations on suitability, best interest, fairness of compensation, and disclosures.

  • Advising on distribution of investment products to brokerage, investment advisory, and online/self-directed customers.

  • Advising the business on regulatory developments and matters pertaining to the above.

  • Participating in the review, policy and governance processes related to the above products and services, working with business and control partners across various groups within the organization.

Required Skills/Experiences:

  • JD Degree and active license to practice law in at least one state or the District of Columbia.  

  • A minimum of 15 years of experience as a practicing attorney.

  • Prior broad experience advising broker-dealers on securities offerings, transactions and regulatory obligations.

  • Prior broad experience advising on a variety of financial instruments and investment products.

  • Proficient knowledge of the Securities Act of 1933, the Securities Exchange Act of 1934, and SEC and FINRA rules and regulations.

  • Understanding of OTC derivative transactions and documentations (ISDAs and CSAs, confirmations, account control agreements, and security agreements).

  • Candidate must be a critical thinker and an effective communicator who is able to work within a team and collaborate with others.

  • Candidate must be able to advise on complex and evolving legal issues.

  • Candidate must be able to identify and advise on key legal and regulatory risks.

  • Candidate must be able to problem-solve, and exercise sound judgment in decision making.

Desired Skills/Experiences:

  • Prior in-house experience is preferred


1st shift (United States of America)

Hours Per Week: 


Learn more about this role

Full time


Manages People: No

Travel: No


Talent Acquisition Contact:

Referral Bonus: