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Years of Experience
Date Last Verified
VP, Chief Counsel Retirement Plan Services The candidate will be providing strategic advice and counsel to Retirement Plan Services senior executives on the business and legal ramifications of significant strategic objectives. Will be advising the SVP, Chief Counsel, Product and senior management on key legal matters and complex issues within the Retirement Plan Services business, including customer or vendor disputes, regulatory exams or investigations, litigation, and operational, reputational or other risks that might impact the business and overall enterprise. Providing internal and industry leadership and advocacy on public policy issues impacting the Retirement Plan Services business. Maintaining current knowledge of legal developments and trends, assessing business impact and ensuring that new trends/developments are considered in business strategies. Leading and managing a team comprised of both legal and compliance professionals. Championing Legal Department initiatives that align with enterprise objectives. Working collaboratively with the enterprise legal support teams (e.g., Litigation, Compliance) and other business unit legal/compliance support teams (Life, Annuities, Group Protection, Distribution, Funds Management) to manage and minimize risk and liability. Developing tools, process and procedures that will improve the Legal Departmentâ€™s client service model. Anticipating and planning for the Retirement Plan Services business's needs when managing legal staff development, recruitment, succession planning and diversity. Managing the Retirement Plan Services business's exposure to risk while ensuring that commercial objectives are achieved. Overseeing regulatory exams/investigations (or regulatory matters/inquiries) and managing relationships with regulators (e.g., DOL, SEC/FINRA, state insurance departments, state banking regulators). Providing recommendations regarding the implementation of new rules and regulations. Understanding, condensing, simplifying and communicating internal and external rules and regulations to all constituents. Keeping abreast of â€œbest practicesâ€ and technological innovations that enhance compliance processes and improve efficiency and effectiveness. Building organizational capability within the Retirement Plan Services Legal and Compliance function to develop a highly effective team of professionals. Ensuring that top talent is hired and retained. Providing training and development opportunities, including stretch assignments, for subordinates and giving honest and open feedback to aid in the development of talent.
Qualification and Experience
The candidate should have of 4 Year/Bachelorâ€™s Degree or equivalent work experience (4 years of experience in lieu of Bachelors). Must have law degree from ABA accredited law school. A JD degree 12+ years of increasingly relevant legal experience with a law firm and/or with a large, diverse and complex financial service provider (e.g., Retirement Plan, Insurance, Banking, Broker Dealer, Investment Advisory, and/or Wealth Management/Trust business lines etc.) including 5+ years of strategy and influencing senior stakeholders. Should have 5 - 7 years of experience with ERISA/Internal Revenue Code requirements applicable to retirement plans and retirement plan service providers. Experience in analyzing compliance policies, programs and procedures including regulatory assessments are needed. Experience leading a legal/compliance team is needed. Demonstrated experience as a â€œthought leaderâ€. Will be able to demonstrate being sought after for advice, counsel, and judgment is essential. Experience working with public policy advocacy groups is a plus. Demonstrated experience in motivating others in a team-oriented, collaborative environment is essential. Demonstrated strong interpersonal skills with collaborative management style is needed. Computer skills: Microsoft Office Suite (Word, Excel, PowerPoint, Outlook) is essential.
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