Senior Counsel-Associate General Counsel - Securities Attorney The candidate will provide legal advice and guidance on the development of variable insurance and registered investment company products, including registered index linked annuities ( RILAs ), mutual funds, and ETFs. Will prepare, file, and update all registration statements, forms and reports filed with the Securities and Exchange Commission ( SEC ) for the organization's variable annuities and RILAs, and assist with SEC filings for the organization's ETFs and the variable products mutual funds. Provide legal guidance and support to reduce legal and financial risk associated with the organization's securities products. Provide legal support for development and review of marketing materials. Coordinate and provide legal support for SEC examinations and state examinations involving securities products. Vigorously advocate and defend the organization's interests before regulators, elected officials, and industry organizations. Manage non-attorney members of the Securities Team, including allocate work assignments, mentor team members, foster and facilitate working relationships with the business units that the team supports, and work closely with Vice President, Deputy General Counsel on development and succession planning for team. As needed, works with legal personnel of Firms affiliates and parent company's legal department, and manages outside counsel.
The candidate should have active membership in good standing of the Minnesota State Bar. Must have 8-10 years prior experience providing legal support for variable insurance products, mutual funds, and institutional investment managers. Experience in a law firm and/or in-house corporate law department of an insurance company, or other financial services company is required. Must have 2-5 years experience managing legal professionals, including attorneys and/or paralegals; expertise in (1) securities law, with particular emphasis on variable insurance products, including RILAs. (2) investment adviser law and regulation. and (3) mutual funds and ETFs.
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