Compliance Officer & Counsel

Description:

Position Summary:
An Insurance Agency is seeking to hire a compliance lawyer in the New York office to provide compliance, governance and legal support to the Chief Compliance Officer primarily in respect of An Insurance Agency and its US and Bermuda insurance subsidiaries.

Position Description:
Responsible for overall support of An Insurance Agency's compliance program and to provide general legal support to the Chief Compliance Officer and the Legal, Corporate and Regulatory team, including:

• Drafting and/or updating compliance and other corporate policies (e.g., Code of Ethics, Compliance Manual, Anti-Corruption Policy).
• Assisting with onboarding new directors and employees, including support for compliance orientation training.
• Assisting with annual and targeted compliance training and annual attestation process.
• Assisting with the oversight of the quarterly compliance process, including the tracking of new and/or revised laws, regulations or other requirements applicable to An Insurance Agency or that could otherwise impact its business.
• Analyzing products and transactions for compliance with “doing business” laws in various jurisdictions.
• Screening transactions for compliance with sanctions laws and completing and/or responding to related “know your customer” checks.
• Assisting with corporate governance matters with respect to An Insurance Agency and its U.S. and Bermuda insurance subsidiaries, including compilation and preparation of meeting materials and/or minutes, conducting fit & proper checks for directors and officers, updating committee charters and related corporate documents.
• Supporting compliance with applicable campaign finance and lobbying regulations, including with respect to An Insurance Agency's PAC.
• Reviewing general corporate contracts (e.g., vendor agreements and license agreements).
• Drafting resolutions, incumbency certificates, other corporate documents.
• Conducting legal research covering broad range of topics affecting An Insurance Agency including insurance regulation, cybersecurity, data privacy, and corporate matters
• Supporting An Insurance Agency's UK and EU legal/compliance team, including support for various global pursuits (e.g., Australia, Singapore).
• Supporting An Insurance Agency's corporate and regulatory activities, including assistance with SEC filings and other public disclosures, securities law matters, insurance regulatory filings, strategic corporate transactions and corporate governance.

• Four to five years of legal experience, including two to three years of major law firm regulatory, compliance and corporate experience involving insurance company clients. Additional experience in the legal and/or compliance department of a major financial institution is a plus.
• Familiar and comfortable with insurance concepts and financial/capital markets business concepts.
• General corporate experience.
• Understanding of the legal parameters and practices of corporate disclosure by public companies a plus but not required.
• Excellent academic qualifications (Juris Doctor required).
• Ability to (i) gain the trust and confidence of coworkers and understand the business and workings of a financial services company, including some level of comfort with numbers and (ii) collaborate with business clients as well as risk, accounting and other legal colleagues of affiliated companies.
• Energetic, proactive, analytical and detail oriented. Communicates and works well with people. Problem-solver. Demonstrates strong initiative, commitment and willingness to take on varied tasks

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