Senior Legal Specialist

Job Description

How will your role impact First Command?

The Senior Legal Specialist is responsible for the execution and oversight of legal and compliance functions that interface with First Command's marketing, social media, and digital programs. The role will help ensure compliance with industry rules and regulations and company policies and procedures. The role will also be responsible for other important and significant legal and compliance functions, including managing the company's Coordination Review Process; supporting the company's litigation management efforts, performing legal and compliance reviews on all internal and external facing communications of the company; managing the company's filings with the FINRA Advertising Department; administering the company's intellectual property portfolio coordinating with in-house counsel and outside counsel on responses to subpoenas, garnishments, liens, levies, litigation requests, etc.; supporting regulatory exams, cybersecurity/data privacy matters, document retention/disposal issues, the overseas operations of the company, complaint handling, and internal investigations; substantive (and light administrative) support for the Deputy General Counsel and Associate General Counsels; and other legal and compliance issues which may arise related to all areas of the company's business.

What will you be doing?

• Serve in the "second line of defense" role, providing legal and compliance support relative to the company's marketing, social media, digital communications functions as well as web site surveillance solutions, "listening" technologies, and other recordkeeping and supervision tools.
• Collaborate with the members of the Legal and Compliance teams to review and provide legal and compliance support for approving internal and external communications, including but not limited to marketing, social media, digital, training, field facing communications, forms, procedures, etc.
• Collaborate with the Marketing Department and members of the Legal, Compliance and Human Resources teams to develop and continuously improve policies and procedures, training, controls, systems, etc. as required by FINRA, SEC and state regulatory agencies.
• Provide legal and compliance support related to cybersecurity and data privacy matters; document retention/disposal issues; and other important and significant legal and compliance issues which may arise related to all areas of the company's business.
• Serve as the primary legal and compliance point of contact for all external regulatory, internal audit and external audit requests for the production of documents related to the business of First Command, including, but not limited to monitoring the Legal and Compliance Inbox including, but not limited to acting independently to the extent practical and legally permissible in-taking issues, conducting factual and legal research, conducting interviews, preparing oral and written summaries, findings, conclusions and recommendations, preparing and coordinating draft opinions, and obtaining attorneys' reviews and approvals when required or appropriate.
• Serve as the primary source of support for investigations, complaint handling, early dispute resolution, litigation, arbitrations, administrative hearings, and all other dispute resolution processes by, among other things, gathering, compiling, and organizing all documentation relating to the investigations and litigation matters, attending interviews, taking notes, and preparing reports.
• Assists with litigation, arbitrations, mediations, legal discovery and formal hearings involving legal matters by reviewing complaints and pleadings, developing initial answers and response and discovery plans, preparing witness and document lists, conducting initial witness interviews, assisting in the location, recovery and reproduction of both electronic and paper evidence and documents, assisting the attorneys in the Legal Department in the conduct of witness interviews, preparing summarized and verbatim witness statements, drafting initial answers for the attorneys in the Legal Department review, and in the drafting of formal settlement agreements and filings with courts, government agencies, and self-regulated bodies to include FINRA, the SEC and state agencies.
• Assists the the attorneys in the Legal Department in planning, arranging and conducting internal corporate investigations and in the preparation of related investigative correspondence and reports by reviewing files and developing initial assessments and investigative plans, preparing witness lists and conducting initial interviews with witnesses, assisting attorney in conducting interviews, preparing summarized and verbatim witness statements; drafting initial investigative reports, facts, conclusions and recommendations for review by the attorneys. Assists in implementing any follow through on approved recommendations.
• Administer the company's intellectual property portfolio, including researching, filing and maintaining the company's trademarks and copyrights.
• Coordinate with the attorneys in the Legal Department and external counsel, field advisors and home office staff on various issues related to subpoenas, garnishments, liens, levies, litigation-related requests, powers of attorney, trusts, wills, estates, death, divorce questions, etc. (this will include timely receipt, processing and responding to items received through the service of process).
• Perform legal research on key issues at the direction of the attorneys in the Legal Department.
• Support the attorneys in the Legal Department by responding to questions sent to the Legal & Compliance email inbox.
• Analyze and help resolve legal issues that may arise from the field, home office or outside contractors related to all areas of the Company's business.
• Work with all departments and the Internal Risk Committee to ensure that all policies and procedures are correct and updated in a timely manner (at least annually).
• Provide substantive (and light administrative) support for the company's Deputy General Counsel and Associate General Counsels.
• Coordinate work and projects among Legal & Compliance personnel.
• Draft and review correspondence and attend meetings with the attorneys in the Legal Department, recording and transcribing meeting notes as necessary.
• Perform Corporate filings - foreign and domestic.
• Work hours may include evenings and weekends.
• Some travel may be required on an occasional basis.

Who will you be leading?

This role administers many significant legal and compliance functions and collaborates with many departments and individuals; however, it does not currently have any direct reports.

What skills/qualifications do you need?

• Experience as a legal and/or compliance professional overseeing marketing programs.
• Experience working with legal and compliance-related technologies, such as Lexis Nexis, NRS, Compliance 11, Smarsh Email Archiving and Surveillance, social media surveillance solutions (ex. Hearsay Systems, "listening" technology), etc.
• Experience working with client relationship management tools, such as CRM, Netx360, As400, Laserfiche, VI, Remedy
• Superb analytical, communication and presentation skills and project management experience
• Ability to exercise discretion, confidentiality, and independent judgment with respect to matters of important business, legal and regulatory significance to the company.

Education and Work Experience

• Bachelor's degree
• 7-10 years of law firm or corporate law department experience in litigation management/support.
• 7-10 years of experience working for a broker-dealer or investment adviser firm (preferred)
• Experience in FINRA and SEC advertising compliance (preferred)
• Some combination of FINRA licenses: Series 7, 63 and/or 24 (preferred)
• Sound knowledge of FINRA and SEC rules and regulations (preferred)

Knowledge, Skills and Abilities

• Superior judgment, ethics and integrity
• A sense of urgency and the ability to manage multiple projects and tasks successfully
• Diplomacy, grace under pressure and a good sense of humor

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