Support PDF,DOC,DOCX,TXT,XLS,WPD,HTM,HTML fils up to 5MB
Years of Experience
Date Last Verified
AVP & Counsel, Distribution Attorney Duties: An integral part of distribution law team, which is responsible for supporting the legal needs of the Financial Advisors (MMFA) organization. Working closely with their business and compliance partners, attorneys in this practice group provide securities and insurance regulatory advice to officers, directors and employees of several company broker-dealers, investment advisers and insurance distribution organizations which conduct business in 50 states and Puerto Rico. Support multiple initiatives to develop direct-to-consumer channels and data analytic tools. Section attorneys interact with federal, SRO and state regulators, actively participate in industry trade associations and provide technical support for Government Relations’ lobbying efforts. Providing legal support to core retail business areas, a registered broker-dealer and investment adviser, and Career Agency System (CAS). Such support may include: Advising on regulatory and compliance matters impacting regulated entities and CAS. Negotiating agreements. Advising on broker-dealer operational issues. Advising on retail investment advisory and broker-dealer product development. Providing corporate governance support to MMLIS and other stand-alone businesses. Providing key legal support to distribution, marketing and e-commerce initiatives. Developing and delivering formal training. Developing and maintaining relationships with multiple regulatory contacts and industry groups. Providing legal support for FINRA, SEC and state regulatory issues, including examinations, inquiries and enforcement matters. Providing technical support to the Company’s government relations team on legislative and regulatory insurance issues impacting the Company’s insurance products. Advising on key business initiatives. Proactively monitoring and advising on pending and current legislation and court and regulatory decisions. Proactively identifying/recommending action steps to mitigate identified areas of legal risk. Managing outside counsel. Participating in internal investigations, as needed. Developing and maintaining relationships across business areas. Participating in projects and resolving problems are key components of this role.
Qualification and Experience
Qualifications: JD Degree from an accredited law school, a member of the Bar in good standing (any state), and the ability to become licensed for in-house practice in Massachusetts if not now licensed in Massachusetts. 6+ years in a top law firm, in-house law department, or regulatory agency dealing with broker-dealer matters, investment adviser issues and/or retail insurance distribution – ideal. Demonstrated academic achievement. Expertise with the federal and state securities and insurance laws as well as FINRA rules. Experience handling high-impact regulatory matters. Experience working advising or within a retail financial services environment. Excellent organizational, interpersonal, research and verbal and written communication skills. Strong ethics and integrity are a must. Must be a self-starter who is business focused and conditioned to high pressure. Must have very strong presentation and advocacy skills. Must be results focused, hardworking, hands on and creative. Must be authorized to work in the US without sponsorship now or in the future. Evidence of success in law school is considered important (either attendance at high tier school and/or strong performance).
Company infoHiring Coordinator