Job Details

Senior Regulatory Attorney Banking And Financial Services And Insurance

Company name


Organization Type


Job Type


Date Last Verified

Dec 10,2018

Posted on

Jul 26,2018

Years of Experience

Min 10 yrs required


Englewood, CO
Practice Area
Finance >> Finance - Banking
Insurance Defense >> Insurance Defense
  Employer Sponsored Job (Free to apply to)
81 hits 1 times Apply


Senior Regulatory Attorney, Banking And Financial Services And Insurance
The candidate will be responsible for providing legal advice to bank’s Banking and Financial Services and Insurance business on regulatory requirements pertinent to the company's services and software products. Develop and implement processes to ensure the organization is compliant with regulatory requirements, review and negotiate relevant client contract terms and lead and oversee any applicable licenses. Other responsibilities include: Establishing relationships with relevant federal and state agencies and updating and maintaining any required government issued licenses; Preparing and submitting written notices and complaint responses to appropriate state and federal agencies; Analyzing new and pending laws and regulations which directly affect applicable services and products; recommending appropriate policies, procedures, controls, reporting, contract language and agreements to ensure compliance; Reading and understanding reports, validating and analyzing examination findings, identifying standard methodologies and apprising senior management; Negotiating regulatory terms in service agreements for services, products and platforms and other tools used in support of regulated activities; Assisting in the development of new products and services by identifying applicable regulatory requirements; Supporting corporate compliance in the development and implementation of policies and procedures, oversight, internal advisory/consulting and monitoring/reporting activities to ensure compliance with all applicable regulations, and Identifying and mitigating regulatory risk across lines of business.

Qualification and Experience

The candidate should have J.D. from accredited law school. Should have 10 years of experience providing legal advice within the financial services and/or insurance industry. Should have knowledge of federal laws such as GLBA, FCRA, AML, OFAC, Dodd-Frank, SEC regulations and FINRA requirements. Familiarity with state insurance laws governing P&C, life, annuity, WC and group benefit lines of business is required. Must have experience working with financial institutions and/or insurance companies, federal and state regulators and third party administrator licenses and broker-dealer requirements. Familiarity with privacy and security regulations applicable to financial institutions and insurance is required. Must have shown experience creating and implementing regulatory compliance programs within a financial services or insurance organization including legal risk management and standardized contract language. Should have excellent knowledge of financial service and insurance operations including to call center, premium handling, claims and producer licensing. Must have advanced written and verbal communication skills and ability to work in a fast-paced environment. Should have strong data analytic skills; attention to detail. Must have strong communication skills (verbal, written, listening) including ability to communicate expertly with regulators, executives and operations staff at all levels.

Company info

Hiring Coordinator
9655 Maroon Circle
Englewood, CO 80112

Similar Jobs:

Covenant Analyst The candidate will work closely with team of in-house experts (from both legal and financial backgrounds). Will research and analyze companies' debt structures and produce reports on notable covenant issues. Main...