Avp - Legal And Compliance

General Description:

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. 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. 

Essential Duties and Responsibilities:

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. 

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.

Maintains attorney – client and attorney work product confidentially under the supervision of counsel.

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.

Evaluates liability, damages and risk issues relating to corporate disputes, both on plaintiff and defense side.

Chooses and engages company counsel, in conjunction with VP of Legal, to prosecute, defend, or negotiate claims on behalf of or in defense of UNA companies.

Sets strategy and tactics for corporate litigation in conjunction with outside counsel.

Keeps VP of Legal and other key stakeholders up to date on corporate litigation and significant risk management issues.

Serves as second in command and attends executive committee and other stakeholder meetings in VP of Legal’s absence.

Supervises, coaches and mentors corporate counsel and legal and compliance staff, as needed.

Performs other duties as required.

Supplementary Information:

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 eight (8) years of related experience as an attorney in Property and Casualty industry.

Must be willing to work flexible and adaptable to an evolving compliance function. 

Strong interpersonal, managerial and diplomacy skills; but more importantly, will need to be flexible and adaptable to an evolving Legal & Compliance function.

Proficiency with Microsoft office applications including Outlook, Word and Excel is required.  

Licenses and / or Certifications: 

Admitted to the State Bar.