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Assistant General Counsel
1 month ago
The Assistant General Counsel will play a crucial role in handling a wide array of legal issues and regulatory inquiries for Group Retirement's dually registered broker-dealer and registered investment adviser. This position will require close collaboration with senior business and compliance professionals to address day-to-day legal issues, support routine exams, and for-cause matters with state/federal securities regulators and self-regulatory organizations.
Key Responsibilities- Provide strategic and tactical legal advice and transaction support on a wide variety of broker-dealer and investment advisory issues.
- Offer proactive and timely risk assessments and status updates of regulatory matters for executive management.
- Participate in regulatory examinations and prepare responses for inquiries relating to broker-dealer and investment advisory processes, procedures, and transactions.
- Collaborate with stakeholders to develop and implement remediation plans for issues noted during examinations.
- Assist in drafting and updating of Form ADV disclosure brochures.
- Participate in the review of written complaints to determine if any required regulatory filings are necessary and assist Compliance professionals with those filings.
- Review vendor, product sponsor, sales/marketing materials, and client forms and agreements.
- Assist in the review and consideration of new products, programs, and services offered by the broker-dealer and investment advisory businesses.
- Draft and/or review supervisory procedures and compliance policies and procedures.
- JD degree required.
- Admission to a state bar association and currently in good standing.
We care about your professional development and offer a career progression program to help you develop your skills, strengthen your productivity, and be eligible to progressively advance to positions with increased responsibility and increased compensation. We also provide a generous benefits plan and competitive pay, including 24 PTO days, 17 paid holidays per calendar year, and a 401(k) Retirement Plan with a $1 for $1 match up to 6% with immediate vesting, plus Corebridge Financial automatically contributes an additional 3% into your 401K regardless of if you enroll or not.
We are an Equal Opportunity Employer and committed to being an Equal Opportunity Employer and its policies and procedures reflect this commitment. We provide equal opportunity to all qualified individuals regardless of race, color, religion, age, gender, gender expression, national origin, veteran status, disability, or any other legally protected categories such as sexual orientation.
