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Corporate - Investment Company Act Attorney / Corporate - Securities and Capital Markets Attorney in Philadelphia, PA

Lincoln National Corporation. Jun 21,2020 Jan 08,2020 Location Philadelphia PA
This job is expired...

In-House

Attorney

Corporate - Asset/Investment Management

Corporate - Securities and Capital Markets

Min 10 yrs required

Profile

AVP, Senior Counsel, Investment Advisory Responsibilities: Provides direction on complex assignments, projects, and/or initiatives to build and enhance the capability of his/her assigned area(s) of responsibility Directs and enhances organizational initiatives by positively influencing and supporting change management and/or departmental/enterprise initiatives within assigned area(s) of responsibility. Identifies and directs the implementation of process improvements that significantly improve quality across the team, department and/or business unit for his/her assigned area(s) of responsibility. Provides subject matter expertise to team members and applicable internal/external stakeholders on complex assignments/projects for his/her assigned area(s) of responsibility. Maintains knowledge on current and emerging developments/trends for assigned area(s) or responsibility, assess the impact, and collaborates with senior management to incorporate new trends and developments in current and future solutions. Partners with the Senior Counsel to oversee monitoring of complex RIA (Registered Investment Advisory) and ERISA business activities, by understanding current advisory business/models and structures and being informed of any new enhancements or changes to current LFN investment advisory functions in order to analyze the ERISA (and fiduciary) regulatory implications. Collaborates with the Senior Counsel and Chief Compliance Officer in developing, updating and maintaining complex compliance policies and procedures (i.e. compliance manuals, conflict of interest policies, etc.) for relevant SEC and ERISA requirements, managing readiness for DOL/SEC audits Leads the development of necessary agreements and disclosures consistent with ERISA and fiduciary requirements (i.e. necessary Investment Advisory agreements, Retirement client disclosures (408b-2)) and partners with Sr. Counsel for final review. Communicate complex policies/procedures to Designated Supervisors/Representatives of the firm to ensure proper understanding of Investment Advisory and ERISA related risks/responsibilities Develops and manages advisory relationships with internal/external stakeholders by understanding LFN operations in Investment Advisory capacity and familiarization with Investment Advisory programs As a subject matter expert acts as point of contact and provides consultation to internal/external stakeholders, specifically as it relates to advisory program compliance with ERISA requirements Partners with Sr. Counsel and Compliance department in keeping current Conflict of Interest Policy and the Firm’s Form ADV Brochures. Participate as member of various committees as the Compliance Consultant to ensure the committee’s compliance with all applicable rules/regulations. Develop and conduct trainings on various SEC and ERISA policies and procedures to internal/external stakeholders.

Qualification and Experience

Qualifications: Bachelor’s Degree required. JD Degree required. 10+ years’ experience related to SEC, ERISA and fiduciary matters for a financial institution that directly align with the specific responsibilities for this position. Experience in collaborating effectively and leading without authority across the enterprise; coaching and advising on talent development challenges for all levels in the organization. Demonstrates strong project management leadership skills including, critical ability to coordinate and balance multiple projects in a time-sensitive environment, under pressure, and. Demonstrated ability to identify and recommend processes improvements.. Finds common ground and can gain collaboration among senior management, colleagues and peers; can influence outcomes without directing or commanding. Demonstrated strong relationship management skills with internal clients (e.g. senior management, peers and colleagues); proven ability to develop creative and collaborative approaches.. Demonstrates strong interpersonal skills with collaborative style.. Strong presentation skills with demonstrated ability to influence at all levels of management through clear, informed and logical discussions/presentations.. Ability to read, analyze and interpret both internal and external documents such as general media/publications, professional journals, technical procedures, governmental regulations, policies, proposals, and standard operating procedures.. Confident, comfortable communicator with strong written and verbal communication skills.. Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook). A demonstrated track record of consistently meeting and/or exceeding performance expectations. Possesses a bias for action and avoids workplace distractions. Drives performance targets to completion.

Additional info

Requisition #61609

Company info