Vice President Corporate Counsel Retail Advice And Solutions

Profile

Vice President, Corporate Counsel, Retail Advice And Solutions
The candidate will be responsible for: Providing thought leadership and support as a key member of the distribution legal team. Address full range of issues related to investment advisory business. Providing strategic advice to the business on new initiatives. Interacting with senior business leaders. Providing legal and regulatory advice and counsel to the retail broker-dealer with a concentration on investments, variable annuities, and insurance. Representing and counseling insurers and broker-dealers before Federal and State Regulators, and Self-Regulatory Organizations. Coordinating with Compliance and Risk Management Departments to provide legal analysis and counsel in connection with the sale and distribution of financial services products. Keeping senior management and other personnel informed on pertinent legal and regulatory developments. Perform special projects as assigned. Some travel is required. JD degree required from an accredited law school and be admitted to practice law in their state of residence. Should have 7+ years of investment advisory, insurance and securities law experience. Must have exceptional working knowledge of investment advisory products, laws and regulations, FINRA rules, insurance laws governing broker-dealers as well as life insurance and/or variable annuities.

Company info

Sign Up Now - WashingtondcCrossing.com