Description:
An American Multinational Investment Bank & Financial Services Holding Company seeks an In-House ERISA/Employee Benefits Attorney to support its retirement and recordkeeping business. This attorney will be part of a dynamic legal team that provides advice and guidance related to the company's record-keeping, trust, custody, brokerage and wealth management services provided to retirement plans and retirement accounts.Responsibilities include the following:
- Act as subject matter expert regarding tax-qualified and non-qualified retirement plans with deep technical knowledge of ERISA and the Internal Revenue Code, as well as experience with trust laws, the Investment Advisers Act, securities laws, FINRA and data privacy laws as they relate to the retirement business.
- Draft, maintain and negotiate legal agreements such as record-keeping services agreements, trust agreements, fund services agreements, fund distribution agreements, non-disclosure agreements, and plan participant IRS and DOL required notices.
- Provide legal advice to Prototype Plan group
- Provide legal advice on statutory and regulatory law changes affecting retirement plan governance, administration, and management
- Provide day-to-day support to business personnel regarding operational and compliance matters, resolution of client issues, recordkeeping systems management and enhancements, and development of applicable websites and mobile applications
- Provide legal advice to sales, marketing and communications teams and the RFP team regarding prospective clients and communications pieces to plan sponsors and participants
- Provide legal advice in the development of new plan record-keeping products and services, including plan sponsor and participant level advisory services
- Provide legal support for EPCRS corrections and VCP submissions for operational and document failures
- Assist in preparing and updating Form ADVs for advisory products
- Provide legal support on plan education, distribution and rollover services
- Provide legal support on Tribal Nation clients
- Work in collaboration with Compliance, Risk and Supervision
- Coordinate with other members of the Legal department and manage outside counsel as necessary
Desired Skills:
- Knowledge of SEC rules, including Reg. BI, Form ADV filings, and marketing rules.
- Experience with nonqualified deferred compensation plans, IRC Section 409A, and equity plans is a plus.
Requirements:
- J.D. required
- A minimum of 5 to 10 years of related legal experience is required.
- Extensive experience needed with ERISA, the Internal Revenue Code, trust laws, the Investment Advisers Act, securities laws, FINRA and data privacy laws as they relate to tax-qualified retirement plans and the record-keeping business
- Candidates must possess strong communication and drafting skills, and demonstrate experience and confidence in risk identification and analysis, and risk management decision making.
Shift:
1st shift (United States of America)
Hours Per Week:
40
