Securities Counsel @ National Life Group
Dear NEAG,
This position reports directly to the General Counsel of National Life Group and will be located on our Montpelier, VT campus. Relocation assistance is available. Primary legal counsel to Sentinel Asset Management, Inc., National Life Group’s investment adviser, with a focus on mutual fund operations, mutual fund distribution and investment management. This position also provides legal support with respect to securities and investments in National Life Group general accounts and with respect to National Life Group variable life and annuity products.
Key Responsibilities
•Prepare and maintain registration statements and ancillary documents required to offer mutual funds and variable insurance products to the public.
•Provide legal advice and support to Sentinel Asset Management, Inc. and affiliated Sentinel entities with respect to mutual fund and investment management product and business initiatives; support mutual fund distribution efforts.
•Provide corporate secretarial services to the mutual fund entities; manage mutual fund board activities and operations.
•Advocate company positions in dealing with regulators and assist litigation counsel with respect to securities matters.
•Assist with investment matters related to National Life Group insurance general accounts.
•Research securities law questions as necessary.
•Provide legal support to other areas/entities of the National Life Group as assigned, including with respect to corporate merger and acquisition activity.
•Supervise and manage securities paralegal.
Requirements
•J.D. from an accredited law school.
•Minimum of [three] years of experience in the practice of law with specialized experience with the Investment Company Act of 1940 and other federal securities laws. Experience within financial services company or insurance company as in-house counsel highly desirable.
•Admission to a state bar (obtain admission to VT within 1-year of hire).
•In-depth knowledge of technical/regulatory aspects of mutual funds, variable products, securities laws, and mutual fund distribution channels.
•Ability to effectively analyze complex legal issues within specialty area and associated risks and advise on alternate courses of action.
•Excellent written/oral communications.
•Ability to translate complex legal concepts into simple, easily comprehensible language.
•Good interpersonal skills; ability to build and maintain effective relationships with customers.
•Ability to effectively work in a team and lead team efforts.
•Ability to deliver high level of customer service.
•Organizational skills; ability to prioritize work, manage many projects/matters concurrently/seamlessly and meet deadlines.
•Good negotiation skills.
•Attention to detail.
•Ability to work with outside counsel and provide direction.
•Demonstrated confidence in dealing with adversaries and customers in high pressure situations
•Problem solving ability; ability to proactively provide creative and innovative solutions to problems.
•Ability to effectively manage expenses/budget within area of responsibility.
•Must be able to pass a background check.
National Life Group® is a trade name of National Life Insurance Company (NLIC), Montpelier, VT, and its affiliates. Securities and variable products are offered solely by Equity Services, Inc., Member FINRA/SIPC, a Broker/Dealer affiliate of NLIC.
TC86240(0715)1
Sincerely,
Judi Sbona
jsbona@nationallifegroup.com
802-229-7319
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