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Securities Attorney


in Telecommute / Saint Paul MN / Minneapolis MN

Logo for Transamerica

Job Description Summary

Are you someone who can roll up the sleeves and dive deep into work? Are you looking for a position where there are opportunities for growth within an organization? Do you thrive in business oriented environments? If your answer is yes, we have the role for you!

What You Will Do: The Securities Counsel (Counsel 2) will support legal issues and regulatory matters related to a registered investment advisor, a wholesale registered broker/dealer, a trust company and exempt and registered investment products for the Workplace Division.

This role will require working closely with the operations, advice, sales, marketing and product development teams on the application of federal and state law and regulation and SEC, DoL, and FINRA rules as they relate to the retirement business.

Experience as in-house counsel with subject matter expertise in retirement plans, collective investment trusts and investment advisory programs is preferred.

What Success Looks Like:

  • Work on issues where analysis of legal business matters requires an evaluation of various factors and exercises judgment commensurate with experience. Review pre-existing documents and templates within assigned practice area(s).
  • Collaborate with pre-selected outside counsel as directed.
  • Provide a variety of general legal services to a number of in-house constituents, primarily within the legal and compliance department, but will work with business partners with oversight under supervision of more senior attorney with moderate discretion to make independent decisions within predefined guidelines.
  • Confer with business areas as directed. Participate in departmental and cross-functional working groups as directed.  Examples of work: Select from pre-approved, options in template contracts; conduct legal research for more senior attorney; assist in responding to discovery requests; review and approve certain customer correspondence (e.g., letters, advertising).

What You Need:

  • JD from an ABA accredited law school
  • Two years of legal experience
  • Licensed or eligible to practice in the applicable state
  • Ability to effectively communicate, both written and oral, with the intended audience
  • Ability to exercise sound judgment in a fast paced environment
  • Ability to exercise agility and adaptability in providing legal advice
  • Comfortable in a rapidly changing corporate environment
  • Proficient using MS Office

How to Apply

Apply Now

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