Job Details

Counsel - Securities

Company name

Western & Southern Financial Group

Organization Type


Job Type


Years of Experience

Min 6 yrs required


Cincinnati, OH

Date Last Verified

Nov 27,2017

Posted on

Jul 24,2017
Practice Area
Corporate >> Corporate - Securities and Capital Markets
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Counsel - Securities Responsibilities: Primary legal counsel on transactional, securities and regulatory matters relating to variable, fixed, fixed indexed and modified guaranteed annuities, including oversight of all registered separate accounts and compliance with the Investment Company Act of 1940 (“40 Act”) and other securities laws that apply to variable insurance products. Responsibilities include designing and drafting annuity contracts and riders, and providing legal advice and oversight of the implementation of annuity products and riders in compliance with all applicable securities and insurance laws; review of and/or drafting a variety of agreements, including third-party distribution, administration and marketing arrangements; review of registration statements and other SEC filings, including drafting disclosure as appropriate; working collaboratively to develop and implement compliance programs; review of numerous types of advertising and other external communications; managing and responding to regulatory exams or inquiries; and drafting, managing and completing required SEC filings for variable annuities and related securities issues. Advises management on complex legal matters and/or on matters involving large dollar amounts with moderate supervision. Communicates and negotiates with other attorneys and regulatory authorities to resolve disputes. Drafts complex legal documents and required filings with the SEC per the Summary of Undertakes complex research assignments from General Counsel and/or Deputy General Counsel. Oversees the timely and accurate filing of all required regulatory filings on behalf of various business units. Ensures compliance with SEC filing requirements with respect to registration statements, prospectus updates, disclosure and proxy statement mailings. Responds to Interstate Compact and other state objections on annuity and related filings. Advises on compliance in performance reporting and annuity illustrations. Advises on annuity product taxation issues, i.e., diversification, spousal continuation, distribution requirements. Advises on New York Insurance Law, primarily governing annuity product requirements and related reporting. Assists other attorneys as needed on complex projects with little direct supervision.

Qualification and Experience

Requirements: JD Degree in law from accredited law school and above average class standing. 6+ years of experience in 40 Act matters supporting all legal needs and requirements for variable annuity registration and operations. Demonstrated comprehensive knowledge of applicable securities and insurance law governing annuity development, marketing, sales, operations, and claims. Proven excellent written and verbal communication and technical drafting/writing skills. Demonstrated ability to manage and prioritize multiple competing priorities; meeting deadlines is imperative. Computer Skills and Knowledge of Hardware & Software Required: Proficient in the use of Word, PowerPoint and Outlook. Certifications & Licenses (i.e., Series 6 & 63, CPA, etc.): License to practice law in Ohio.

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