Annuities/securities Compliance Attorney

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Annuities/securities Compliance Attorney

The candidate will provide legal representation in complex compliance and transactional matters for American Fidelity Corporation and its affiliated entities, which includes devising strategies by which objectives can be obtained, assessing/advising business risk, determining proper structure for the offering of products or for transactions, preparation of applicable documentation, negotiations and oversight of matters relating to legal areas of responsibility to serve the best interests of the client. Provide legal counsel regarding securities laws and regulations from SEC, FINRA and state securities departments to ensure corporate-wide compliance on a federal and state level. Responsible for the interpretation of new and existing securities laws related to the business activities of (1) the FINRA registered broker-dealers owned by American Fidelity, American Fidelity Securities, Inc. (“AFS”) and First Financial Securities of America, Inc. (“FFSA”) and (2) the American Fidelity Assurance Company investment companies, Separate Accounts A, B and C. (the “Separate Accounts”). Serve as the Securities Chief Compliance Officer of AFS, FFSA and the Separate Accounts. Appropriate regulatory and securities training/licenses including FINRA Series 6 and FINRA Series 26. Juris Doctor from accredited law school, licensed Oklahoma Attorney through Oklahoma Supreme Court, active membership in Oklahoma Bar Association and annual compliance with continuing legal education requirements per Oklahoma Bar Association guidelines. Three to seven years in-depth experience as lead counsel in practice focused on sophisticated compliance and transactional matters, including securities, broker-dealer, investment company, and related corporate matters. Proficiency with PC Windows-based software, including Excel, Word and Microsoft Office applications. Strong oral and written communication skills including outstanding interpersonal skills and consultative skills. Strong analysis and interpretation skills. Knowledge of federal requirements of broker-dealer compliance and investment company securities forms and sales of variable/equity based products. Superior ability to identify, analyze and address complex and difficult legal issues, meet deadlines, work effectively with corporate and non-corporate clients, outside legal counsel, opposing legal counsel and regulatory/government/legislative officials. Knowledge of SEC and FINRA compliance. Strong legal research skills and knowledge of research sources available, including on-line sites relating to SEC and FINRA regulations. Strong knowledge of annuity contracts, securities and/or tax laws relating to annuities, 403(b) plans, IRAs, Roth IRAs, Section 125 plans, as well as other types of retirement plans common to Customer base.

Company info

American Fidelity Assurance Company
2000 North Classen Boulevard
Oklahoma City
Oklahoma
United States 73106
Website : http://www.afadvantage.com