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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate - Securities and Capital Markets
ERISA/Executive Compensation
Government and Government Relations
Min 10 yrs required
Associate General Counsel – AIG Retirement Services Duties: Handle a wide-array of legal issues and regulatory inquiries of Retirement Services, including legal support to VALIC Financial Advisors, a dually registered broker-dealer and registered investment adviser (the “Firm”) and assist, as necessary with, retirement plan operations, recordkeeping service and other agreements. Working closely with senior business, risk and compliance professionals in addressing both day-to-day legal issues involving the Firm as well as supporting routine exams and for-cause matters with state/federal securities regulators and self-regulatory organizations (e.g., FINRA and SEC). Rendering related legal advice and counsel to the Firm regarding the application of federal, state, and SEC and FINRA rules and regulations. Provide strategic and tactical legal advice and transaction support on a wide variety of broker-dealer and investment advisory issues. Provide support on a wide range of legal and regulatory issues arising from the retirement businesses including: annuity product development, SEC filings and distribution, retirement services and other agreements, broker dealer and investment advisor operations, transfer agent operations, plan acquisition and administration, and defined contribution retirement plan compliance. Work collaboratively across the organization including with peers across Legal, Risk and Compliance and all levels of staff to ensure consistency of approach and practice across business lines. Apply and expand an understanding of the laws and regulations applicable to the business operations, stay abreast of changes in applicable laws and regulations, and assist in ensuring that business clients are well situated to comply with new and amended laws. Serve as liaison between leadership team and key regulators with respect to ongoing relationship management as well as routine and non-routine examination activity.
Qualification and Experience
Qualifications: JD Degree required. Law firm or in-house experience within the financial services and/or retirement plans services industry, working with or supporting retirement plan providers and related investment arrangements. 10+ years of experience as in-house counsel in a relevant business environment with subject matter expertise in the group retirement plans including tax regulations, ERISA, product and operational compliance, combined with strong business acumen. Experience being involved with and handling regulatory exams and investigations. Experience working with broker dealer and investment advisory programs. Working knowledge of annuities, mutual funds, and/or other retail financial products, ERISA and IRS legal frameworks, distribution of securities, and broker-dealer and investment adviser regulations. Demonstrated ability to work in a fast-paced environment and to find creative solutions on diverse matters requiring complex legal and strategic analysis. Ability to serve as a trusted advisor, strategic partner and collaborator with peers, leaders, and business partners. Thorough understanding of investment advisory fiduciary responsibilities and appropriate disclosure of conflicts of interest. Knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, and SEC and FINRA regulations applicable to each. Involvement handling regulatory exams and investigations. Excellent written and verbal communication skills, including strong ability to advocate in writing and orally, and ability to deliver clear legal advice to wide variety of audiences. Strong organizational and project management skills. Retirement plan experience is preferred.
Ref. JR2008182
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