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Global financial company seeks a Broker-Dealer Counsel for an exciting opportunity to join its legal team providing advice and counsel on a broad range of securities law and broker-dealer compliance issues related to the distribution and administration of the company’s variable insurance products. Some of the primary responsibilities of this position will include:
Providing counsel on the distribution and regulation of annuities and variable insurance products
Providing legal and compliance support to the company's retail and wholesale affiliate broker-dealers and investment advisor
Providing counsel on broker-dealer and investment advisory compliance programs and related regulatory disclosures, including Form ADV
Assisting with the preparation and filing of SEC registration statements related to the company’s variable life and variable annuity prospectuses; drafting variable product disclosures; and reviewing advertising and marketing materials
At least 4+ year’s prior relevant experience in a broker-dealer or investment management practice at a top law firm or in-house at a major insurance or financial services company
Knowledge and understanding of the Investment Company Act of 1940, the Securities Act of 1933, FINRA rules, and other federal securities laws related to the design, development and distribution of securities and investment products
Prior experience counseling in the development, marketing and retail/wholesale distribution of securities and investment products
Understanding of variable annuity and/or variable life insurance products preferred
Understanding of regulatory disclosures (Form ADV) related to broker-dealer and investment advisory compliance a plus
Broad experience handling SEC filings, regulatory inquiries, and interacting with agency staff
Must have strong verbal and written communications skills
State bar admission required
NOTE: Position may be based out of company's Syracuse or Charlotte office locations -OR- remote work arrangements may be considered for qualified candidates in other parts of the country as well. Please email resumes in confidence to firstname.lastname@example.org .
Meridian Legal Search is a legal staffing organization specializing in the search, recruitment and placement of attorneys, paralegals and compliance professionals for the nation's leading financial institutions, insurance companies, pharmaceutical companies, law firms, Fortune 500 companies and other major corporations. Meridian was first established in 1936, and has successfully been placing att...orneys more than 40 years now. Meridian's clients include corporations (public and private), law firms (large, medium and boutique) and Fortune 1000 and global financial services corporations. We place partners, counsels and associates; general counsel, associate counsel, staff attorneys and paralegals in corporate finance, litigation, securities/compliance, investment banking, investment management, banking, private equity, venture capital, mutual funds, hedge funds, broker dealer, insurance, intellectual property, media, entertainment, information technology, pharmaceutical and many other industries. Our clients are located throughout the United States and overseas. All communication and correspondence with candidates is treated confidentially, and candidate resumes are submitted to clients only upon receiving the candidate's prior express permission to do so. Other services we offer include counseling law firms and corporations on hiring strategies and compensation packages, law firm mergers and diversity hiring programs. We have a state of the art, advanced computer database of 100,000 attorneys and 9,000 law firms, corporations and not-for-profits. Additionally, Meridian Legal Temps, Inc. is a division of Meridian Legal Search. Placements include temporary and temp-to-perm attorneys and paralegals at all levels and in a wide range of practice areas.Meridian Legal Search is a founding member of the National Association of Legal Search Consultants (NALSC) and adheres to the NALSC Code of Ethics.