Counsel, Woodbury Financial Services (WFS)Title: Counsel, Woodbury Financial Services (WFS)
Location: United States-Minnesota-Oakdale
Other Locations:
Counsel,Woodbury Financial Services (WFS)
Overview of the Position
Based in Oakdale, MN, the role will report directly to the Chief Legal Officer for Woodbury Financial Services (WFS) and will be responsible for providing expert legal counsel and compliance guidance in support of our growing and increasingly complex broker-dealer and investment adviser business. This is a highly visible, high impact position where the successful candidate will have the opportunity to work closely with top-ranking officers and supervisors at WFS.
Responsibilities
* Provide legal counsel for regulatory matters and customer complaint handling
* Handle frequent written, telephonic and face-to-face contact with various federal and state regulatory agencies on matters of substantial importance to the Company
* Define, distinguish and respond to complicated legal and compliance issues across the organization
* Meet with business leaders to discuss sensitive matters or serious issues with the potential for significant liability or benefit to the Company
* Provide legal and compliance guidance to a rapidly growing sales force selling increasingly complicated products
* Maintain knowledge of all relevant securities laws, FINRA rules, some insurance laws and other relevant legal areas
* Draft and negotiate contracts
* Conduct pertinent research and analysis
Candidate Profile
* Minimum of 5 years related broker-dealer legal experience required; Dual-registered environment experience preferred
* Insurance industry experiences a plus
* Juris Doctor Degree from a U.S. law school of recognized stature required
* In-depth knowledge of relevant securities laws, FINRA rules, and some insurance brokerage laws required
* Ability to handle complex legal and compliance matters with little or no supervision and a high degree of responsibility and creativity required
* Ability to structure forceful and persuasive legal arguments required
* Experience drafting and negotiating contracts required
* Ability to work with and consult to individuals at all levels of an organization
* Strong analytical and critical thinking skills, sound judgment and decision-making skills, and strong verbal and written communications
* A solid business person, intellectually sharp and energetic, who is dedicated to the improvement of the productivity and profitability of the organization
* A high energy, self-motivated, results-oriented and resourceful leader who is capable of quickly taking control of his/her responsibilities and establishing himself/herself as a credible and creative business partner
About Woodbury Financial Services
Named 2009 and 2006 Broker-Dealer of the Year byInvestment Advisor, WFS is a full-service broker-dealer and registered investment adviser designed for the independent registered representative with an orientation toward needs-based planning and long-term client relationships. Woodbury has a national network of over 1,600 reps and ranks among the largest independent broker-dealers, based on annual gross revenue. WFS is a member of The Hartford Financial Services Group, Inc.
About The Hartford
Celebrating 200 years of helping its customers achieve what's ahead, The Hartford Financial Services Group, Inc. (together with its subsidiaries, "The Hartford"), is a NYSE-listed insurance and financial services company with approximately $24.7 billion in revenues as of December 2009 and more than 28,000 employees, headquartered in Hartford, Connecticut.
Founded in 1810, The Hartford celebrated its 200th anniversary this year. And while The Hartford has a rich and vibrant heritage as one of America's oldest insurers, today the Company is a market-leading provider of protection and wealth management solutions, including property and casualty insurance, life insurance, group benefits and investment products.
Through its unique focus on customer needs, the company serves businesses and consumers by providing the products and solutions they need to protect their assets and income from risks and manage their wealth and retirement needs. A Fortune 100 company, The Hartford is recognized widely for its service expertise and as one of the world's most ethical companies. The Hartford writes its business primarily in the US. As of December 31, 2009, total assets exceeded $300 billion. In 2009, the company reported revenues of $24.7 billion, and in the first quarter of 2010 it returned to core profitability after two years of losses.
In order to execute on key customer growth opportunities, The Hartford developed a new strategy and organization structure to be more customer-centric. As of April 2010, the company established three major business units - Commercial Markets, Wealth Management and Consumer Markets.
The Hartford's goal is to deliver sustained, profitable growth with strength, confidence, focus and discipline. The Hartford is focused on its customers, partners, strong brand and core values of integrity, financial discipline, diversity and inclusion, customer focus, winning spirit, and teamwork. More information on the company and its financial performance is available
What Is The Compensation Opportunity?
At The Hartford, our compensation philosophy is simple: we pay competitive base salaries as well as short- and long-term incentives, and we reward performance. In addition, you will be eligible to participate in our comprehensive benefits program including medical insurance, a 401(k) Plan, an Employee Stock Purchase Plan and more. Relocation is also available as appropriate.
* The Hartford is an Equal Opportunity and Affirmative Action Employer *
** NO AGENCIES PLEASE **
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