About this PositionEarly to mid-level position within the Legal Department for a qualified lawyer in good standing with the applicable supervisory body. Reviews, interprets and analyses legal requirements and effectively communicates these to the business units and in some instances, the sales force. Has demonstrated competency in conducting legal reviews of a variety of matters and documents including corporate and field advertising and training materials, corporate policies and procedures, communications and correspondence.
This is a hybrid position that requires working onsite in the Duluth, Georgia office and remotely multiple days each week.
This role is not eligible for sponsorship now or in the future.
The estimated salary range for this role is: 115K - 120K, depending on experience
Responsibilities & QualificationsEssential Job Duties Responsibilities:- The Senior Legal Counsel will have independent responsibilities to review advertising materials for compliance with applicable laws and brand requirements; provide legal advice on content; and advise on disclosure requirements and guidelines.
- The Senior Legal Counsel will facilitate compliance with broker-dealer and investment advisor marketing materials, and also related field requests for advertising, speaking engagements, and Cash/Non-Cash compensation, to ensure compliance with related regulations including Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), and State Securities and Insurance laws.
- The Senior Legal Counsel will be responsible for compliance with, and advising the business on, applicable FTC, FCC and other communication and marketing-related rules and regulations, including state and federal "Do Not Call" laws and CAN-SPAM.
- Being current and up to date on all relevant areas of law is crucial to the provision of accurate advice to the business units. Learning and sharing this information with the business units allows the company to be current and plan for future direction and success. The ability to follow, review and comprehend legislation and regulation is a fundamental requirement of the position. The Senior Legal Counsel will have to be a self-starter and creative in using available tools and resources to stay current and well informed so as to add high value to the company and management to plan for the future and avoid business disruption. The sharing of this knowledge will also be done with other members of the Legal Department to ensure high knowledge and consistency across the team.
- Ensuring the company and all business units know and understand their requirements not only with laws and regulations but also with internal policies and procedures. Guiding and explaining these requirements to the business units is a high value function of the Legal Department.
- Understanding the nuances of the company's business and operations is a continuing responsibility given the dynamic nature of our business and the regulatory environment. Ongoing research and evaluation of legal risks is crucial to ensure proper advice and guidance is provided to the business. Guidance and advice must be communicated in plain easy to understand language.
Minimum Qualifications: - Juris Doctorate Degree in Law (Must be a graduate of a recognized Law School and a member in good standing with a relevant law society / bar.)
and current member in good standing of any state bar - 2-5 years of proven experience as a Legal Counsel in business environment.
- Excellent knowledge and understanding of corporate law and procedures.
- Demonstrated ability to create legal defensive or proactive strategies.
- High degree of professional ethics and integrity.
- Sound judgement and ability to analyze situations and information.
- Outstanding communication skills. Self-starter.
- Understanding and familiarity with laws and regulations applicable to the construct and delivery of financial services products and services. Principles of fair treatment of customers and privacy.
- FINRA Series SIE, 6, 26 and 63 licenses are required OR must obtain within 120 days of hire.
FLSA status:This position is exempt (not eligible for overtime pay):
Yes
Our Benefits:- Day one health, dental, and vision insurance
- 401(k) Plan with competitive employer match
- Vacation, sick, holiday and volunteer time off
- Life and disability insurance
- Flexible Spending Account & Health Savings Account
- Professional development
- Tuition reimbursement
- Company-sponsored social and philanthropy events
