Vice President, Corporate Counsel, Retail Advice and Solutions

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
This position can be worked from a remote/virtual location.

Qualifications

JD degree required from an accredited law school and be admitted to practice law in their state of residence
7+ years of investment advisory, insurance and securities law experience
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.
Ability to accurately assess legal and regulatory risks
Exemplary analytical, practical problem solving, oral and written communication skills
Capacity to be a self-starter, team player and able to work independently
Detail-oriented and able to develop and implement new or enhanced processes for increasing the efficiency of regular responsibilities
Strong public speaking skills
Excellent judgment and the ability to make clear, rational and timely decisions in the best interest of Company consistent with available facts and applicable laws and regulations
Ability to thrive in an environment where coordination and teamwork is a priority and the ability to interact well with senior business executives
Flexibility and a willingness to adapt to changing needs of the organization and/or business clients