AVP - Legal & Compliance
This individual will be responsible for assisting the Vice President of Legal & Compliance in leading UNA’s Legal & Compliance Department. Working within UNA’s Legal & Compliance function and reporting to the Vice President of Legal & Compliance, the Assistant Vice President of Legal & Compliance will serve as the Vice President of Legal &Compliance right hand and be directly responsible for supervising the Compliance team as well as managing contract negotiations for the Company.
This individual will need strong inter-personal, managerial and diplomacy skills; but more importantly, will need to be flexible and adaptable to an evolving Legal & Compliance function.
Essential Duties and Responsibilities:
- Serves as the second in command of the legal and compliance functions for all the UNA companies. Responsible for being a strategic thought partner with the Vice President of Legal & Compliance to assist in setting the strategy and development, framework, processes and policies of the department and the company as it relates to legal and compliance matters.
- Supervises the Compliance team function within the Legal Department, including, without limitation, direct oversight and management over the Director of Compliance and his/her team, internal and external compliance audits, State Regulatory Reports, assisting the business in implementing new and applicable rules and regulations, and liaising with state regulators for market conduct and other exams and/or complaints.
- Assists the Vice President of Legal & Compliance in drafting and presenting substantive assigned projects to the Executive Team.
- Legal partner responsible to partner with the operational business components to provide legal advice relating to the operations of the business. This includes being the legal liaison for underwriting, customer service, marketing and sales.
- Owns and maintains the company contracts management process, defining policies and procedures for contract review. Reviews and negotiates UNA agreements with third parties, working with relevant UNA stakeholders to ensure management of contractual risk consistent with company risk appetite and operational needs. Works with VP of Legal & Compliance to finalize UNA agreements, provide summaries of transactions and seek company signatures. Trains UNA management on contracts management, creates templates and forms for company use. Maintains all executed company agreements in digital and hardcopy library for confidentiality and authorized easy access as required.
- Supervises, coaches and mentors corporate counsel and legal and compliance staff, as needed. Performs other duties as required.
This job description has been prepared to indicate the general nature and level of the work that the employees perform within their classification. This description is not to be interpreted as an inventory of all the duties, tasks, responsibilities and qualifications required for the employees assigned to this job.
Education and/or Experience:
- Juris Doctor Degree from an accredited law school.
- Minimum of six (6) to ten (10) years of related experience as an attorney in Property and Casualty industry, in-house legal or compliance function with relevant background relating to managing operational legal advice to business clients.
- Must be willing to work flexible and be adaptable to an evolving compliance function.
- Strong inter personal and diplomacy skills.
- Proficiency with Microsoft office applications including Outlook, Word and Excel is required.
Licenses and / or Certifications:
Admitted to a State Bar.