Overview
An organization is seeking an Assistant General Counsel to report to the Associate General Counsel. This role supports all aspects of the legal and investigative functions, handling litigation matters for the organization and its affiliates, including a Registered Investment Adviser and Broker-Dealer. Responsibilities include managing regulatory exams and inquiries, supporting privacy functions, conducting reviews and investigations, and delivering employee training.
Responsibilities
- Manage lawsuits, arbitrations, and pre-litigation matters for the organization and its affiliates
- Collaborate with outside counsel on litigation strategy and tactics
- Oversee outside counsel in securities regulatory enforcement matters
- Manage discovery processes, including subpoenas and document management
- Prepare for trial or arbitration, including witness preparation
- Advise internal stakeholders on litigation, risk management, and claims
- Identify and mitigate legal risks
- Participate in settlement negotiations
- Coordinate, direct, and conduct reviews and investigations
- Respond to, manage, and investigate customer complaints
- Develop and enhance internal procedures for complaint investigations
- Communicate investigation outcomes to leadership
- Perform root cause analysis and recommend policy or procedure changes
- Advise business leaders on compliance and regulatory changes and trends
- Maintain the Anti-Fraud Plan for the organization and affiliates
- Manage state insurance department examinations and regulatory inquiries
- Oversee SEC, FINRA, and state securities/insurance department examinations
- Investigate and resolve employment-related disputes in conjunction with Human Resources
- Develop and deliver training programs on legal topics
- Partner with HR, business leaders, and legal department colleagues on employment issues
Skills and Abilities
- Knowledge of litigation processes, including discovery and evidentiary rules
- Familiarity with state insurance, securities, FINRA, and SEC rules and regulations
- Understanding of federal, state, and local employment laws
- Strong business acumen in life insurance and broker-dealer industries
- Excellent verbal and written communication skills
- Relationship-building and influencing skills
- Tactical and strategic thinking abilities
- Proactive, values-driven, and relationship-based approach
- Strong leadership, ethics, integrity, and discretion
- Sound judgment
- Compliance with all company policies and procedures
- Commitment to staying current with professional and industry trends
- Completion of regulatory and job training requirements
- Demonstrated commitment to AI fluency by embracing AI tools and technologies to enhance performance, decision-making, and innovation
Education and Experience
- Juris Doctorate from an accredited law school (required)
- Admission to the bar of at least one state and eligibility for a Limited In-House Corporate General License (required)
- Former litigation, prosecutorial, or regulatory experience (required)
- 8–10 years of compliance/legal experience within insurance, securities, financial services, or criminal law (required)
- Experience managing corporate investigations (required)
- Experience interacting with law enforcement or regulatory bodies such as the SEC and state insurance/securities departments (required)
- Litigation experience including federal and state insurance litigation, FINRA arbitration, and managing outside counsel (required)
- Experience in employment law matters (required)
Compensation and Benefits
- Base salary range: $160,000 - $170,000
Equal Employment Opportunity
The organization provides equal employment and advancement opportunities to all qualified applicants and employees in accordance with applicable laws. Employment decisions and practices are free from unlawful discrimination based on race, creed, color, national origin, ancestry, citizenship, age, gender (including pregnancy), sexual orientation, gender identity or expression, domestic partnership or civil union status, marital status, genetic information, disability, religious observance or practice, liability, veteran status, or any other protected classification under applicable law.