Responsibilities:
- Advising the company on corporate and securities regulation compliance, prospectus reviews, assess and advise on regulatory changes and providing legal support for corporate governance matters
- Working closely with the General Counsel on the provision of strategic legal advice on complex matters, managing legal risks, ensuring compliance with relevant laws and regulations
- Supporting business operations by offering legal counsel to executive management
- Providing advice of legal implications of strategic business decisions across a wide range of legal issues in a pragmatic, flexible and collaborative manner with a focus on the operational responsibilities of a Mutual Fund Dealer and Mutual Fund Manager
- Ongoing monitoring of compliance with relevant laws, regulations and industry guidelines, covering securities, technology, artificial intelligence, data privacy and other technology driven initiatives
- Analyzing legal issues, conducting legal research, and drafting legal documents including complex contracts, agreements and opinions
- Providing ongoing support and work collaboratively with the Securities Compliance Team to ensure continued regulatory adherence
- Negotiating contract terms and managing due diligence processes effectively
- Contributing to the development of the company’s legal strategy and risk management framework including conducting research and preparing opinions that assist in the advancement of key business objectives
- Identifying opportunities to improve legal processes and efficiency
- Responsible for annual review and regulatory filings required for an investment fund manager
- Attending to other matters and special projects as assigned by the General Counsel
- Representing the General Counsel and Legal Team in front of Executive Management both locally and at the Parent Company level, which may include presentations and real time advice and guidance
- Provide supervision and guidance to members of the legal team
Preferred Qualifications:
- LL.B./J.D. from an accredited university in Canada or equivalent and a Member in good standing with at least one Canadian provincial law society, with a preference for Ontario
- Minimum 10 - 15 years’ experience in a managerial or leadership role providing legal counsel in the financial services sector – experience within the Securities and/or Mutual Fund industries preferred
- Individuals with securities and general litigation experience would be considered an asset
- Investment filings and documentation review/preparation experience with mutual funds
- Excellent negotiation skills to effectively interact with all levels of management, stakeholders and regulators
- Superior analytical and problem-solving skills
- Exhibited leadership and mentorship qualities developed through active involvement and guidance
- Comprehensive understanding of relevant Canadian laws and regulations
- Ability to manage complex legal matters with a high degree of autonomy
- Regulatory risk management, policy development/review experience
- Highly organized and able to quickly adapt to a high change, growth environment
- Superior interpersonal, communication and presentation skills
This position has a wide range of duties that will be assigned to greater or lesser degree depending upon the skill set, experience and performance of the successful candidate. As such, the above-noted qualifications may evolve or change as the position evolves.
It has been and will continue to be the policy of Primerica, Inc., and its subsidiaries to be an Equal Opportunity Employer. We provide equal opportunity to all qualified individuals regardless of race, sex, color, religious creed, religion, national origin, citizenship status, age, disability, pregnancy, ancestry, military service or veteran status, genetic or carrier status, marital status, sexual orientation, or any classification protected by applicable federal, state or local laws.
At Primerica, we believe that diversity and inclusion are critical to our future and our mission – creating a foundation for a creative workplace that leads to innovation, growth, and profitability. Through a variety of programs and initiatives, we invest in each employee, seeking to ensure that our people are not only respected as individuals, but also truly valued for their unique perspectives.
Top Skills
What We Do
Primerica is a leading financial services company in North America, with more than 2,000 corporate employees who support more than 129,000 licensed independent representatives providing financial education and offering financial products and services to their clients. Primerica has been operating for more than 40 years and is publicly traded on the New York Stock Exchange (NYSE) under the symbol "PRI."
Primerica’s focus is on serving the needs of middle-income consumers by providing products such as term life insurance, mutual funds, annuities, and more. In addition to the products and services we offer, Primerica also offers entrepreneurial-minded individuals the opportunity to build their own financial services business. More information about Primerica's Business Opportunity can be found on www.primericabusinessopportunity.com.
Headquartered in Duluth, Georgia, Primerica operates throughout the U.S., Canada, and the territories of Puerto Rico and Guam. We believe financial security should be possible for everyone, so we strive to meet families where they are today and help them be better prepared for their future.
