Description:
Job Summary:The Vice President and Chief Counsel serves as the primary attorney advising the Company's Wealth Management product and sales teams on a broad range of legal issues related to An American Financial, Retirement, Investment and Insurance Company's retirement products and services. The Vice President and Chief Counsel supports strategic initiatives involving current and new products while maintaining a legal focus and protecting the Company. This position reports to the SVP and Deputy General Counsel for Workplace Solutions and is eligible for a remote work location.
Job Responsibilities:
- Supports regulatory compliance of An American Financial, Retirement, Investment and Insurance Company's broker-dealer and registered investment advisor companies, including domiciliary regulatory filings and examinations, review and filing of regulatory risk materials, and support of sales activities;
- Advises and counsels key business partners on all legal aspects of the product lifecycle from conception through launch, on go-to-market strategies, and on maintenance and refinement of new products, features and functionality across the Company's suite of products and services;
- Drafts policies and disclosures required to support legal frameworks;
- Maintains deep understanding of business goals, products, objectives, roadmaps, and business processes to effectively identify solutions to potential legal issues and provide relevant advice for business advancement;
- Protects the interests of the business by identifying potential risks, sourcing subject matter experts as needed, and developing risk mitigation tactics;
- Advises on compliance with federal and state laws and regulations applicable to the An American Financial, Retirement, Investment and Insurance Company's retail services and product inventory;
- Supports and advises on the drafting and negotiation of commercial agreements relevant to Company products and services;
- Monitors and advises on regulatory matters;
Knowledge & Experience:
- Bachelor's Degree and Juris Doctor Degree from an accredited law school;
- Member of good standing in at least one jurisdiction;
- Minimum 10 years' overall experience in the retirement industry, working with investment advisors, registered broker dealers, state insurance departments, variable and fixed investments;
- In-depth knowledge of FINRA, SEC, DOL, and IRS regulations applicable to retail investment products and investment advisory activities;
- Strong relationship management skills with the ability to interact with all levels of the organization and to work either independently or as a team member;
- Strong oral and written communication and presentation skills;
- Knowledge of Microsoft Office products (Word, Excel, PowerPoint) and MS Outlook;
- Reliable, self-starter, detail-oriented, well-organized and able to manage multiple priorities and deadlines.
