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Assistant Vice President, Compliance Counsel

Amalgamated Family of Companies

Overview

The AVP-Compliance Counsel develops, monitors and reports on the corporate compliance program, for the Amalgamated Family of Companies, which consists of the Amalgamated Life Insurance Company and its affiliates, Amalgamated Employee Benefits Administrators, Inc., a third party benefits administrator, and Amalgamated Medical Care Management, Inc., a medical care management company.  This role serves as an independent and objective body that reviews and evaluates compliance issues/concerns within the Family of Companies. The position ensures that management and employees of the Amalgamated Family of Companies are in compliance with the rules and regulations of all federal and state laws and regulations,  and Company policies and procedures. The scope of compliance matters includes, but is not limited to, health law compliance (ACA, HIPAA, etc.), anti-fraud practices and procedures, marketing and sales practices, product development, claims, enterprise risk management, and privacy and IT security requirements.  The Compliance Counsel shall act as the Company’s qualifying officer with the NYS Worker’s Compensation Board. The Compliance Counsel shall also oversee the Company’s Abandoned Property compliance program and reporting, including chairing the Abandoned Property committee.

Responsibilities

  • Develops, initiates, maintains and revises policies and procedures for the general operation of the Family of Companies’ compliance program, including responding to alleged violations, conducting investigations, and making recommendations in response to confirmed violations of any law, regulation or Company policy.
  • Serves as the Director and lead investigator of the Company’s Special Investigations Unit for all insurance related fraud, waste and abuse claims, and maintains the Company’s Fraud Prevention Plan in accordance with state insurance laws.
  • Provides compliance advice to senior leadership and management teams, including assessing compliance risks and identifying and interpreting applicable laws and regulations.
  • Develops and periodically reviews and updates Standards of Conduct and other corporate policies.
  • Collaborates with other departments to direct compliance issues to appropriate existing channels for investigation and resolution. Consults with the General Counsel as needed to resolve difficult legal compliance issues.
  • Identifies potential areas of compliance vulnerability and risk; develops and implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future.
  • Provides reports on a regular basis, and as directed and requested, to keep senior management informed of the operation and progress of compliance efforts.
  • Works with the General Counsel in interacting with state and federal regulators with respect to examinations, complaints, inquiries, investigations, and appeals.
  • Ensures the proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.
  • Institutes and maintains an effective compliance communication for the organization.
  • Review, draft and negotiate the terms of contracts in a wide variety of practice areas, including service agreements, vendor contracts, settlement agreements, non-disclosure agreements, and business associate agreements.
  • Oversee complex state regulatory filings, including interpretation of state extraterritorial jurisdiction requirements.
  • Serve on the appeals committee for individual disability income insurance appeals.
  • Provide legal guidance on federal and state privacy laws.
  • Investigate potential privacy issues, prepare recommendations on reporting obligations, and make recommendations on operational improvements to enhance compliance in various business units.
  • Research state and federal laws and regulations to respond to various requests for legal advice concerning the business of insurance and claims administration.
  • Coordinate with the IT Department concerning business continuity and disaster response planning and training.
  • Communicate with state insurance departments regarding investigations, complaints and regulatory compliance matters.
  • Attend Board of Directors and Committee meetings to provide compliance reports, updates on compliance initiatives, and take meeting minutes.
  • Work onsite in the White Plains headquarters on average four (4) days per work week during normal business hours.

Attorney

Amalgamated Family of Companies

Overview

Represents the Company, its affiliated companies, and client ERISA Funds in all facets of federal court litigation (primarily collection-related). Prepares various documents and reports for Court, Company Management, and Funds’ Trustees. Manages team of two (2) paralegals who work in above areas. Supervises work of local counsel nationally to ensure compliance with Funds’ litigation requirements.

Responsibilities

  • Draft court documents, including pleadings, briefs, discovery requests, and demand letters
  • Court appearances and arguments
  • Meetings and negotiations
  • Preparation for and examination of parties and witnesses at depositions
  • Preparation of Trustees’ reports, opinion letters, settlement agreements
  • Coordination with Company affiliated Companies’ staff
  • Supervision of local counsel and Funds Staff

Senior Securities Paralegal

Guardian

As Securities Paralegal, you will be involved in filing securities products with the Securities and Exchange Commission (SEC). Your responsibilities will include preparing and organizing legal documents, ensuring compliance with regulatory requirements, conducting research on securities laws, assisting in the drafting of disclosure documents, communicating with regulatory authorities, and managing deadlines associated with the filing process. You will play a crucial role in supporting attorneys and ensuring the accuracy and completeness of submissions to the SEC.

In addition, you’ll work collaboratively with several attorneys and other paralegals, who support multiple business units on a broad range of other important legal and compliance issues.  You will have the opportunity to work on a variety of projects and assignments and must have the ability to multi-task and prioritize. Interpersonal skills, initiative and excellent communication skills will be critical to success in this position.

You are

  • Someone who enjoys working in a team environment while achieving results independently. Your confidence allows you to develop relationships with a wide variety of individuals and to make decisions. 

  • You can juggle multiple assignments and clearly and concisely communicate advice.


Headline

Amalgamated Family of Companies

Overview

Represents the Company, its affiliated companies, and client ERISA Funds in all facets of federal court litigation (primarily collection-related). Prepares various documents and reports for Court, Company Management, and Funds’ Trustees. Manages team of two (2) paralegals who work in above areas. Supervises work of local counsel nationally to ensure compliance with Funds’ litigation requirements.

Responsibilities

  • Draft court documents, including pleadings, briefs, discovery requests, and demand letters
  • Court appearances and arguments
  • Meetings and negotiations
  • Preparation for and examination of parties and witnesses at depositions
  • Preparation of Trustees’ reports, opinion letters, settlement agreements
  • Coordination with Company affiliated Companies’ staff
  • Supervision of local counsel and Funds Staff

Corporate Securities Counsel

Corebridge Financial

About the role

This position reports to the Chief Securities Disclosure attorney and is responsible for assisting the Chief Securities Disclosure attorney in providing legal advice and counsel to the Chief Financial Officer, Chief Investor Relations Officer, Chief Accounting Officer and others across the organization on general corporate and securities matters, with primary responsibility for the legal support related to the company’s SEC disclosure and the activities of the Audit Committee of the Board of Directors. 

Specific Responsibilities

  • Draft and provide counsel in support of SEC, NYSE and other securities filings, including current and periodic reports and announcements, Section 16 filings, registration statements, proxy statements and other regulatory filings and reports
  • Assist with corporate compliance with applicable securities laws and NYSE regulations
  • Draft and prepare materials for Board of Directors, committee and stockholder meetings
  • Assist with implementing and overseeing the company’s insider trading compliance program
  • Draft resolutions, consents, governing documents, certificates and minutes
  • Draft and maintain securities and governance-related policies and procedures

Paralegal

Corebridge Financial

About the role

In this challenging and dynamic role, you will have the opportunity to provide paralegal services to the Corebridge Financial Retirement Services business. You will work with a team of lawyers and other professionals who are responsible for legal support of Corebridge Financial Retirement Services’ annuities, registered products, distribution-related matters, retirement plan operation matters, contract matters, regulatory exams, and multiple strategic projects.

Specific Responsibilities

You will be working on all aspects of legal support of Corebridge Financial Retirement Services business. Examples of the work in which you will be involved include supporting the Legal Team with:

  • Responding to Requests for Proposal
  • Securities laws issues
  • Preparing regulatory filings with the SEC (including annual updates to registration statements on Form N-4 and supplements) of variable insurance products, including scheduling workflow, maintaining filing calendar, record keeping support, and preparing EDGAR submissions.
  • Coordinating with internal and external business partners to gather information and documents necessary for filings.
  • Maintaining and completing Blue Sky filings, as needed.
  • Federal and state examinations of the Corebridge Financial Retirement Services business.
  • Legal Department efforts in connection with Corebridge Financial Retirement Services digital transformation projects, operations-focused initiatives, and other special projects.
  • Assisting with contract review and maintenance, including plan service agreements, plan documents, fund related, vendor, and any other general agreements.
  • Drafting and/or editing correspondence, meeting minutes, memoranda, reports, and perform legal research.
  • Tracking federal/state legislation impacting Corebridge Financial Retirement Services business and related tasks, and special projects support.
  • Requests from Operations and related documentation/filing.


Senior Litigation Paralegal

Corebridge Financial

About the role

In this challenging and dynamic role, you will have the opportunity to provide paralegal services as a member of the Litigation Team, helping to support all lines of the Corebridge business (Life, Individual Retirement, Group Retirement and Investments) and related functions.    You will work with a team of lawyers and other professionals who are responsible for the management of pending and threatened litigation against the Company and related matters. This position reports directly to the Director of Litigation Paralegal Services

Specific Responsibilities

  • You will be responsible for managing and preparing timely responses to legal subpoenas, under attorney supervision.
  • Respond to document requests, including collection and preservation of documents.
  • You will prepare and manage internal reports, including quarterly reports for various audiences, including senior business and legal leaders, on varying and evolving subjects, such as or similar to significant matters, claims and legal contingency reports.
  • Coordinate with legal operations to assist attorneys in review, approval and payment of law firm and other vendor invoices.
  • Issue and manage litigation hold notices.
  • Accept receipt of service of process and direct to appropriate internal attorneys.
  • Assist outside counsel with discovery requests and interface with various outside vendors, including eDiscovery vendors.

Corporate Securities Counsel

Corebridge Financial

About the role

In this challenging and dynamic role, you will have the opportunity to demonstrate your legal expertise by being responsible for legal aspects pertaining to the Institutional Markets businesses.  This position will report to the Deputy General Counsel, responsible for legal affairs related to the Institutional Markets business of AIG Life and Retirement.

  • This position has a broad scope of work.  This role is primarily dedicated to:  (i)  providing general contract, insurance regulatory and transactional legal support for AIG Life and Retirement’s Institutional Markets pension risk transfer (“PRT”) business in the U.S. and Reinsurance Strategy (“Reinsurance”);  (ii)  negotiation of assumption and ceded reinsurance transactions; and (iii) supporting new initiatives primarily for PRT and Reinsurance. 
  • The position will also assist the Institutional Markets team in respect of other business lines such as structured settlements, medium term note offerings, stable value wrap and private placement products.
  • Areas of responsibility for this role will include support of product development, transactional negotiation and investments/capital markets matters.  This will include drafting and negotiation of all relevant contracts and documentation as well as filings with applicable regulators in conjunction with the PRT business team or from a Reinsurance perspective. 
  • The position will also work cross functionally to assist the other Institutional Markets lines of business when necessary, collaborate with the legal teams across AIG and provide support with respect to legislative tracking, compliance and handling of special projects.  
  • Tax and ERISA knowledge is a plus.