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We represent a global financial services company that is looking to hire an attorney, ideally with 8-15 years of retail broker-dealer, securities and insurance experience. This attorney will work on a wide range of matters including legal issues impacting investment management, retirement, group insurance, annuities and life insurance distribution and regulatory issues.
Primary Duties and Responsibilities:
Providing legal and regulatory advice and counsel to the broker-dealer supporting investment management, retirement and group insurance businesses.
Providing legal and regulatory advice and counsel to the broker-dealers supporting life and annuity businesses.
Representing and counseling insurers and broker-dealers with respect to federal and state regulatory matters as well as FINRA.
Candidate will have a minimum of 8 to 15 plus years legal experience.
Candidate will have experience as broker-dealer/insurance distribution counsel, including providing advice regarding FINRA, SEC and state insurance securities laws and regulations.
Demonstrated knowledge of the operations of retail broker-dealers and insurance companies.
Knowledge of the distribution and regulation of insurance and securities products.
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