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Vp, Assistant General Counsel - US Wealth Management, Insurance
Refer job# WTWV151870
VP, Assistant General Counsel - US Wealth Management, Insurance The candidate will be a member of the US Wealth Management Legal team that is responsible for supporting annuities and life insurance, as well as Wealth Management and Securities LOBs. Will advise and support the product and distribution teams for annuities and life insurance and assist in supporting internal Wealth Management clients, including Advisors, Sales Management, Operations, Risk, Controls, and additional clients as needed. Work closely with colleagues on the US Wealth Management and Product Legal teams and collaborate with Compliance and Risk to ensure comprehensive and effective support. Provide advice and counsel on complex legal matters while focusing on building and maintaining strong relationships with business leaders and colleagues across the Legal Department. Advise on a wide range of legal issues with a primary focus on annuity and life insurance products and distribution and secondary focus on advisory and brokerage products, services, and operations. Draft, negotiate and review transactional documents to support business objectives. Identify potential issues and work with appropriate business partners to provide solutions. Support the business and Compliance on implementing laws and regulations impacting the sale of annuity and life insurance products. Facilitate working group meetings with key stakeholders. Communicate with senior leadership and business partners regarding high-level legal projects and issues. Work on special projects outside of normal responsibilities and ability to adapt as needed.

The candidate should have a J.D. degree and be licensed to practice law and a member in good standing in in the state/jurisdiction in which the position is based or otherwise in compliance with the in-house counsel registration rules of that state/jurisdiction. Must have 5+ years of legal practicing experience at a law firm, financial institution, government agency, insurance company, regulator and/or self-regulatory organization with demonstrated financial services experience. Should have experience in insurance, broker-dealer, and investment advisory matters, including knowledge of state insurance laws and regulations, FINRA rules and regulations, the Securities Act, Securities Exchange Act, Investment Advisers Act of 1940 and Investment Company Act. Ability to understand business needs and partner with key stakeholders to create solutions is required.
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