Providing bespoke strategic input to Fiduciary business projects, initiatives and strategic developments
Develop disclosure and client approved materials relating to IAP and the other investment advisory programs we help to manage
Responding to regulatory changes and initiatives
Providing support to developinvestment solutions that drive growth, while still managing risk.
Supporting and assisting other FPP LOB with other strategic initiatives from idea creation through execution & implementation
Managing product collateral such as enrollment documents, contract, disclosure documents, and procedure manuals
Addressing ad hoc requests and issues relating to Legal, Compliance, Risk & Audit inquiries and partnering with Operations and Technology to address ad hoc issues from advisors and clients.
Desired Skills:
JD degree
Series 7 and 66 (must be obtained within 120 days)
At least 10+ years of financial services experiences
At least 4+ years of legal experience covering the financial services industry, ideally with coverage of Investment Adviser’s Act issues and regulation, disclosure requirements and analysis of legal and compliance issues
Comfortable and capable of working with multiple business groups and with legal, compliance and risk partners
Ability to present information and findings to senior executives, front-office teams and leadership, and LOB partners and communicating with them at their level of analytical/technical understanding
Plain-English writing ability or willingness to adapt to that communication approach