Maintains knowledge of current and emerging legal and regulatory developments impacting financial services distribution and assesses operational and business impacts. and advises VP, Chief Counsel Distribution and senior management on legal matters and complex issues within the LFD business including business initiatives, third party relationships, sales and incentive programs FINRA, SEC, DOL and state insurance laws and regulations. Supports implementation and interpretation of compliance policies, procedures, and business controls related to distribution activities.
Drafts, reviews, and negotiate distribution agreements including revenue sharing agreements, servicing agreements, selling agreements and related legal documents.
Assists business partners and internal stakeholders with legal review of sales programs, compensation arrangements, licensing, registration, and distribution initiatives.