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Years of Experience
Date Last Verified
ProfileSenior Counsel The candidate will support developing distribution channels for life, health and annuity products, as well as support the products and services of broker-dealer and registered investment adviser. Will provide well-reasoned, concise counsel on current, proposed or anticipated business activities, while balancing business oriented goals with legal risk. Provide advice on legal issues to various levels of staff and management at Financial (fixed and variable insurance), Investment Management Inc. (broker-dealer), Asset Management (registered investment adviser), and related entities, and educate clients on proactive measures and approaches to manage potential legal exposure. Provide regulatory counsel on insurance, broker-dealer and investment advisor related matters including supervision, compliance policies and procedures, financial reporting, compensation, sales and marketing practices, record keeping, recruiting, licensing, selling agreements, Form BD and ADV filings, and compliance with the DOL Fiduciary Rule. Monitor, review, interpret and prioritize state and federal securities and insurance legislation and SEC and FINRA rules and regulations in an active and ever-changing regulatory environment, and coordinate with business leaders to engage on advocacy and implementation. Maintain a key role in strategic business discussions and evaluate the impact decisions have throughout the organization(s). Identify potential legal or regulatory issues which may impact the company's business strategy, products, or business conduct and provide proactive legal advice accordingly. Provide legal advice regarding SEC, FINRA and state securities and insurance regulatory inquiries and exams and interact with regulators as needed. Act independently, and as part of a team, in providing legal advice on specified legal issues affecting the company. Communicate with and counsel all levels of the company - including senior management. Conduct research, review, analyze and draft various documents, contracts, policies, procedures and obligations to which the company is or may become a party. Identify legal issues outside of general area of expertise and collaborate with other attorneys and compliance professionals in their resolution. Address other strategic issues as assigned. Should have J.D. degree and be member of the Bar. Must have 7+ years of relevant, high-quality legal experience. Should have extensive knowledge of relevant state insurance laws and regulations and securities laws regulations, including FINRA and MSRB rules and '33, '34 and '40 Acts. Must have experience interpreting and advising on the DOL’s new fiduciary rule. Should have hands on experience talking to and working with state insurance regulators, FINRA, and SEC.