Senior Compliance / Regulatory Counsel

Provide legal counsel and advice in conjunction with the compliance program of a variable annuity firm, in conjunction with registration, marketing, sales and servicing of variable annuities. This position will involve extensive senior management contact and daily interaction with various departments within the organization. 

 

Strong academic background with 7 + years experience in the financial services industry, focusing on securities and/or insurance related products in a legal/compliance/government regulatory capacity. B.A./B.S. and JD degree.

 

Candidates must possess strong knowledge regarding the federal securities rules and regulations, in particular the 1940 Act. Familiarity with insurance law and/or variable insurance product regulation is preferred.

 

This position requires a self-directed professional with strong initiative, organizational and interpersonal skills and management experience. Employee should possess strong research, analytical and practical problem solving skills, and have excellent oral and written communication skills. He/She must also possess the ability to function at a peak level while managing a diverse and demanding workload.

 

Responsibilities ~
Providing advice and guidance on applicable rules and regulations with emphasis on compliance requirements under applicable federal and state rules and regulations; Conducting inquiries, in conjunction with other impacted business areas, into detected and/or reported compliance issues, recommending and implementing effective solutions; Oversight of compliance with applicable regulatory requirements; Working with management and operational departments to enhance existing compliance program; Working on regulatory inquiries, examinations, audits and investigations; Monitoring industry developments, regulatory trends, and new regulation; Identifying and mitigating potential areas of compliance risk.