Vice President Corporate Counsel Retail Advice and Solutions

Profile

Vice President, Corporate Counsel, Retail Advice and Solutions
The candidate will be providing thought leadership and support as a key member of the distribution legal team. Will address 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. Perform special projects as assigned.

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