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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate - General
8-15 yrs required
Vice President, Corporate Counsel The candidate will work on a wide range of matters including legal issues impacting investment management, retirement, group insurance, annuities and life insurance distribution and regulatory issues. Will be providing legal and regulatory advice and counsel to the broker-dealer supporting firm's investment management, retirement and group insurance businesses. Providing legal and regulatory advice and counsel to the broker-dealers supporting firm's life and annuity businesses. Representing and counseling firm's insurers and broker-dealers with respect to federal and state regulatory matters as well as FINRA. Working closely with Business Unit Law Departments as well as Compliance and Risk Management Departments to provide legal analysis and counsel in connection with the sales, supervision and distribution of mutual funds, registered insurance products and securities as well as non-securities products and business initiatives. Keeping management and other personnel up to date on pertinent legal, regulatory and industry developments. Drafting and Negotiation of selling agreements and other distribution agreements and providing advice to firm's businesses regarding such agreements. Perform other assignments and projects, as assigned.
Qualification and Experience
The candidate must have 8 - 15 years legal experience. Must have experience as broker-dealer/insurance distribution counsel, including providing advice regarding FINRA, SEC and state insurance securities laws and regulations. Must have demonstrated knowledge of the operations of retail broker-dealers and insurance companies. Must have knowledge of the distribution and regulation of insurance and securities products. Exposure to the following areas will also be helpful: corporate governance, advertising, AML, and privacy laws.
Ref DIS000B7
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