Vice President, Corporate Counsel, Retail Investment Advice Counsel Jobs in Pennsylvania - 169592 | Submit Resume | General Counsel Consulting
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Vice President, Corporate Counsel, Retail Investment Advice
Refer job# YEKX169592
Vice President, Corporate Counsel, Retail Investment Advice Responsibilities: Providing thought leadership and support as a key member of the distribution legal team. Addressing a 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. Performing special projects as assigned.

Qualifications: 5-7+ years of significant and substantive legal experience retail broker-dealer/investment advisor lawyer with a law firm or an investment management organization. Expert knowledge and experience of law and regulation (U.S. and non-U.S.) and documentation governing retail broker-dealer/investment advisory. Sophisticated legal knowledge and experience of broker-dealer regulatory acts including the Investment Advisers Act of 1940 and U.S. securities laws. Extensive knowledge of SEC and FINRA regulations.

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