Connecticut - Senior Counsel
Windsor
CT
Senior Counsel
The candidate will provide day-to-day broker-dealer legal services to company's wholesale broker-dealers and retail broker-dealer. Will provide distribution legal expertise and support to company's Retirement Solutions and Insurance Solutions businesses, as well as the company's Closed Block Variable Annuity segment, on matters of broker-dealer and investment adviser regulation. Will provide legal advice and support on behalf of the Law Department regarding products and services offered to clients of company broker-dealers, including product development, marketing, distribution, supervision, compliance, operations, commission payments and licensing and contract negotiations, as well as other related regulatory matters. Provide legal support and subject matter expertise in connection with regulatory inquiries related to the company broker-dealers. Serve on behalf of the Law Department as the primary contact between the Law Department and the Retirement Solutions and Insurance Solutions businesses, as well as the company Closed Block Variable Annuity segment, for ordinary course legal inquiries relating to broker-dealer and investment adviser matters. Work closely with Enterprise Litigation and Regulatory legal team to respond to regulatory exams and inquiries, disputes, complaints, and litigation relating to company broker-dealers. Provide legal support regarding broker-dealer and investment adviser distribution issues such as negotiating agreements with distribution partners and managing agent benefit and compensation issues. As required, work with other Law and Compliance personnel in both formal and informal teams to address matters crossing business and functional lines including complaint handling, market conduct exams and legal/compliance review of certain marketing materials. Work with related business unit legal departments and other corporate functions (e.g. Finance, HR etc.); work closely with internal and external litigation counsel in support of on-going lawsuits; and engage external counsel in the delivery of legal services as needed. Will be exposed to all levels of employees within the company, from senior executives to junior employees.
The candidate should have strong academic credentials. Must have 5+ years of experience in an in-house legal department working on broker-dealer matters and/or a national or regional law firm advising on broker-dealer matters. Admission to the Bar is required. Should have an in-depth understanding of SEC and FINRA rules and regulations applicable to broker-dealers and investment advisers. Must have a general understanding of investment products including mutual funds, annuities, etc., as well as a good understanding of FINRA licensing requirements. Should have experience with broker-dealer operations including regulatory matters, products, operations, distribution, administration, and compliance. Contract drafting experience is needed.
Legal
5 - 7
Full-time
2013-02-14
Locations (hold down ctrl to chose multiple):
Primary Area of Practice:
USA - Alabama USA - Alaska USA - Arizona USA - Arkansas USA - California USA - Colorado USA - Connecticut USA - Delaware USA - District of Columbia USA - Florida USA - Georgia USA - Hawaii USA - Idaho USA - Illinois USA - Indiana USA - Iowa USA - Kansas USA - Kentucky USA - Louisiana USA - Maine USA - Maryland USA - Massachusetts USA - Michigan USA - Minnesota USA - Mississippi USA - Missouri USA - Montana USA - Nebraska USA - Nevada USA - New Hampshire USA - New Jersey USA - New Mexico USA - New York USA - North Carolina USA - North Dakota USA - Ohio USA - Oklahoma USA - Oregon USA - Pennsylvania USA - Puerto Rico USA - Rhode Island USA - South Carolina USA - South Dakota USA - Tennessee USA - Texas USA - Utah USA - Vermont USA - Virginia USA - Washington USA - West Virginia USA - Wisconsin USA - Wyoming International - Australia International - Belgium International - Canada International - China International - England International - France International - Germany International - Greece International - Holland International - Hong Kong International - Italy International - Japan International - Mexico International - Other International - Russia International - Scotland International - Singapore International - South America International - Spain International - Thailand
Administrative Admiralty & Maritime Antitrust and Trade Regulation Appellate Aviation & Aerospace Banking Bankruptcy Business Immigration Civil Rights Compliance Construction Contracts Corporate Corporate Governance Criminal Education Elder Law Employment Energy Entertainment Environmental ERISA/Employee Benefits Family Finance Franchise Government Health Care Immigration Indian Information Technology Insurance Intellectual Property Intellectual Property-Copyright & Trademark Intellectual Property-Licensing Intellectual Property-Litigation Intellectual Property-Patent International Internet/E-Commerce Judicial Review Land Use Litigation Marketing Media Other Pharmaceuticals Privacy Real Estate Risk Management Securities Sports Tax Telecommunications Toxic Tort Transportation Trust and Estates White Collar Crime Worker’s Compensation
Minimum Years of Experience:
Any
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Keyword:
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Connecticut - Senior Counsel
Refer job# 2ZJI25598
Senior Counsel
The candidate will provide day-to-day broker-dealer legal services to company's wholesale broker-dealers and retail broker-dealer. Will provide distribution legal expertise and support to company's Retirement Solutions and Insurance Solutions businesses, as well as the company's Closed Block Variable Annuity segment, on matters of broker-dealer and investment adviser regulation. Will provide legal advice and support on behalf of the Law Department regarding products and services offered to clients of company broker-dealers, including product development, marketing, distribution, supervision, compliance, operations, commission payments and licensing and contract negotiations, as well as other related regulatory matters. Provide legal support and subject matter expertise in connection with regulatory inquiries related to the company broker-dealers. Serve on behalf of the Law Department as the primary contact between the Law Department and the Retirement Solutions and Insurance Solutions businesses, as well as the company Closed Block Variable Annuity segment, for ordinary course legal inquiries relating to broker-dealer and investment adviser matters. Work closely with Enterprise Litigation and Regulatory legal team to respond to regulatory exams and inquiries, disputes, complaints, and litigation relating to company broker-dealers. Provide legal support regarding broker-dealer and investment adviser distribution issues such as negotiating agreements with distribution partners and managing agent benefit and compensation issues. As required, work with other Law and Compliance personnel in both formal and informal teams to address matters crossing business and functional lines including complaint handling, market conduct exams and legal/compliance review of certain marketing materials. Work with related business unit legal departments and other corporate functions (e.g. Finance, HR etc.); work closely with internal and external litigation counsel in support of on-going lawsuits; and engage external counsel in the delivery of legal services as needed. Will be exposed to all levels of employees within the company, from senior executives to junior employees.
The candidate should have strong academic credentials. Must have 5+ years of experience in an in-house legal department working on broker-dealer matters and/or a national or regional law firm advising on broker-dealer matters. Admission to the Bar is required. Should have an in-depth understanding of SEC and FINRA rules and regulations applicable to broker-dealers and investment advisers. Must have a general understanding of investment products including mutual funds, annuities, etc., as well as a good understanding of FINRA licensing requirements. Should have experience with broker-dealer operations including regulatory matters, products, operations, distribution, administration, and compliance. Contract drafting experience is needed.
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