AVP- Compliance Attorney

Job Responsibilities and Requirements

The AVP, Compliance Attorney will be responsible for the management of all compliance and regulatory requirements for the Annuities Group. This team member will report directly to the CEO of Retirement Services and support all departments in adhering to regulatory requirements.

Key Responsibilities

Provide comprehensive legal support to the Annuities Line of Business, including research and development, operations, and marketing.

Prepares and executes legal documents by analyzing, drafting, and reviewing them as appropriate to meet the Company’s business needs.

Responsible for Ensuring all annuities products comply with all state and federal regulations.

Draft and review insurance contracts filed with state insurance departments.

Provide legal support to traditional and digital marketing areas of the business.

Provide legal support to producer and policyholder call centers, policy owner servicing, and claims administration.

Advise and consult management on SEC, FINRA, and other insurance regulatory, legislative, and compliance matters.

Works directly with various department leaders to satisfy audit requests.

Works directly with brokers and third-party investment managers to provide the requested information for account setup, such as certificates of incumbency, authorized signatory lists, certificates of beneficial interests, AML policies, and other documents as requested by such parties. Coordinates among internal stakeholders to identify appropriate documentation to satisfy initial and ongoing requests as needed.

Maintains updated documentation around authorized traders, authorized signatories, qualified institutional buyer forms, and other documents needed to execute broker transactions.

Reviews legislative changes impacting annuities products collaborates with department leaders to implement process and/or procedure changes and ensures compliance with such changes.

Subject Matter Expert to Annuities department on compliance-related matters

Required Knowledge, Skills, Abilities and/or Related Experience

Juris Doctor degree from an accredited law school.

Ten years of compliance experience. At least three years of such experience should include knowledge of annuities products.

At least three years of prior compliance management experience required.

At least one year of experience with annuities is required.

State Bar membership in good standing.

Familiarity with state and federal insurance laws and regulatory requirements.

Strong drafting and review skills for insurance contracts.

Ability to provide sound legal advice in a fast-paced environment.

Excellent communication and interpersonal skills

Ability to Travel: Up to 10%

Work location may be flexible if approved by the Company.

What We Offer

At Reliance Matrix, we believe that creating a more diverse, equitable and inclusive culture allows us to realize more of our potential. And we can’t do this without our most important asset—you.

That is why we offer a competitive pay package and a range of benefits to help team members thrive in their financial, physical, and mental wellbeing.

Our Benefits:

An annual performance bonus for all team members

Generous 401(k) company match that is immediately vested

A choice of three medical plans (that include prescription drug coverage) to suit your unique needs. For High Deductible Health Plan enrollees, a company contribution to your Health Savings Account

Multiple options for dental and vision coverage

Company provided Life & Disability Insurance to ensure financial protection when you need it most

Family friendly benefits including Paid Parental Leave & Adoption Assistance

Hybrid work arrangements for eligible roles

Tuition Reimbursement and Continuing Professional Education

Paid Time Off, volunteer days, community partnerships, and Employee Assistance Program

Ability to connect with colleagues around the country through our Employee Resource Group program and our Diversity Equity & Inclusion Council

Our Values:

Integrity

Empowerment

Compassion

Collaboration

Fun

EEO Statement

Reliance Matrix is an equal opportunity employer. We adhere to a policy of making employment decisions without regard to race, color, religion, sex, national origin, citizenship, age or disability, or any other classification or characteristic protected by federal or state law or regulation. We assure you that your opportunity for employment depends solely on your qualifications.

#LI-Hybrid #LI-KC1

R5174