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Assistant General Counsel - Broker / Dealer
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$150
Full-time
- This attorney will be a member of the legal department’s Securities Business Counsel group and will assume a senior role in support of Primerica’s retail wealth management business operated through the company’s affiliated investment adviser and broker-dealers.
- Provide counsel and regulatory expertise in connection with our affiliated broker-dealer’s distribution of mutual funds, annuities, IRAs, and employer-sponsored retirement plans.
- Assume primary responsibility for tracking and analyzing state and federal regulatory initiatives impacting Primerica’s investment adviser and broker-dealer affiliates.
- Assist with efforts to monitor and manage conflicts of interests, and with the ongoing maintenance of disclosure documents required under the Investment Advisers Act, ERISA and Regulation Best Interest.
- Serve as a primary legal contact to the firm’s affiliated mutual fund recordkeeper, and provide counsel related to the development and maintenance of back-office policies and procedures, the review of legal documents received by the firm and the resolution of inquiries received from account owners and third parties.
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