Senior Corporate Counsel The candidate will support more than one business line, with a primary focus on the Retirement, Health, and FuturePlan divisions, which service 401(k)s, IRAs, health savings accounts, and other tax-advantaged savings plans. Will provide legal counsel to executives across the business units and shared services functions. Key job responsibilities include acting as subject matter expert in relevant areas of law; negotiating and drafting contracts; supporting mergers and acquisitions; managing disputes and litigation; supporting a registered investment advisor, a broker-dealer, and two trust companies; and other day-to-day legal matters. Provide advice and counsel to business leaders on legal, regulatory, legislative, compliance, and business issue. Draft, negotiate, review, and interpret various contracts and other legal documents between the company and its clients, partners, vendors, and other third parties. Support mergers and acquisitions by assisting with due diligence, agreement negotiation, post-closing integration, and related matters. Manage and resolve disputes and litigation, including overseeing outside counsel. Provide legal and regulatory guidance to a registered investment advisor, a broker-dealer, and two trust companies. Handle other day-to-day legal issues arising in a growing and complex business including employment, intellectual property, and corporate governance. Responsible for protecting, securing, and proper handling of all confidential data held by the company to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to the company or its clients.
The candidate should have a Juris Doctorate from an accredited U.S. law school with 7-10 years of experience. Should have a license to practice law in at least one state and in good standing. Experience in the financial services industry is strongly preferred. Familiarity with ERISA and laws related to mutual funds, securities, and other investments is preferred. Law firm and in-house experience are a plus. Must demonstrate sound legal and business judgment.
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