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Vice President, Corporate Counsel, Retail Advice and Solutions
Refer job# CCAO151886
 
Vice President, Corporate Counsel, Retail Advice and Solutions The candidate will be providing thought leadership and support as a key member of the distribution legal team. Will 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.

The candidate should have JD degree from an accredited law school and be admitted to practice law in their state of residence. Must 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. Ability to accurately assess legal and regulatory risks is required. Must have exemplary analytical, practical problem solving, oral and written communication skills. Strong public speaking skills needed.
 
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This particular job is currently not active. However, since our clients regularly share with us similar and other job openings, we strongly recommend that you submit your resume. We shall review your resume and get in touch with you as soon as a suitable vacancy comes up to further discuss your interest in exploring the opportunity. Assisting you is our highest priority.

Please be assured that none of your materials will be forwarded to any employer without your consent. Of course, all inquiries are kept strictly confidential.
 
 

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