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Job Description
Gradient Financial Group is a leading financial services company that includes twelve unique entities doing business throughout the country. We’re seeking an energetic crew member for the Associate General Council with Gradient Financial Group. Gradient Financial Group our family of companies serve independent financial services professionals across the country.
It’s time to take your career to a higher altitude with the Gradient Financial Group. Visit https://www.careers.gradientfinancialgroup.com/ to learn more about our values, leadership team, career paths, benefits, and more!
Here at Gradient, we take our work and our culture seriously. We frequently come together for food days, friendly competitions, volunteering, and other special events. We also prioritize openness and transparency so that you’re always informed when significant decisions and changes are made.
When charting your next route, you may be wondering what to expect. If you take flight with Gradient Financial Group, we provide:
It’s time to take your career to a higher altitude with the Gradient Financial Group. Visit https://www.careers.gradientfinancialgroup.com/ to learn more about our values, leadership team, career paths, benefits, and more!
Here at Gradient, we take our work and our culture seriously. We frequently come together for food days, friendly competitions, volunteering, and other special events. We also prioritize openness and transparency so that you’re always informed when significant decisions and changes are made.
When charting your next route, you may be wondering what to expect. If you take flight with Gradient Financial Group, we provide:
- Health insurance
- Dental insurance
- Vision insurance
- Paid time off (PTO)
- Volunteer time off (VTO)
- Hybrid remote work options
- 401K
- Life Insurance
- Flexible schedules
- Monthly Social Activities
- Casual dress code
- Professional development
Now, you’re probably wondering a little more about what we are looking for, so here it is:
- Bachelor’s degree – Required
- Juris Doctor degree – Required (but will consider relevant industry experience in lieu of advanced degree)
- Current license and in good standing to practice law in Minnesota - Required
- 3+ years of experience practicing as an attorney – Required
- Financial Services or Compliance experience - Preferred
- Knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process
- Preparation, negotiation, review and enforcement of commercial agreements and the resolution of legal issues
- Demonstrated skill in preparing and responding to complaints and regulatory inquiries
- Ability to work with financial services regulatory authorities (i.e. state insurance departments)
- Skill in analytical thinking
- Ability to communicate information and ideas so others will understand
- Ability to work independently and meet deadlines
- Ability to effectively manage multiple projects
- Ability to write effective policy and procedures
- Ability to influence at a senior level using sound judgement
- Ability to influence the organization utilizing cross-functional resources
- Excellent legal research and writing skills
- Ability to think creatively and approach projects and tasks from a continuous improvement perspective
Want some more specifics? If you join the Gradient Financial Group crew, here’s what you’ll be doing:
- Provide legal and compliance guidance regarding business initiatives; guidance on compliance training and communications to the field and business units
- Provide assistance and legal support to both corporate management on supervisory and compliance issues; negotiate contracts with financial product providers, including selling agreements, revenue sharing contracts
- Monitor new laws and regulatory activity and assess impact to supervisory and compliance policies and procedures
- Provide assistance with joint ventures, strategic partnership deals, and mergers and acquisitions
- Keep abreast of legislative changes that may affect the company and its affiliates
- Perform pre-litigation work to minimize risks and maximize legal rights
- Analyze business plans and initiatives to identify legal risks, advise business partners on risk mitigation and best practices.
- Partner with Operations management in identifying and containing legal risks and developing best practices
- Offer counsel on a variety of legal issues
- Manage various projects and deadlines
- Explain legal language
- Draft terms and conditions in agreements
- Ensure legal objectives are met
- Research unique legal issues impacting the organization by identifying applicable statutes, judicial decisions, and codes
- Develop solutions to complex legal questions
- Assist in the creation and implementation of compliance policies and procedures for internal and external customers, to include:
- Suitability review
- Complaint Handling
- Policy & Procedures creation and review
- Internal/External Compliance Inquiries
- Legal Analysis and Review
- Contract Drafting/Review
- Business Entity Filings and Corporate Meeting Minute Drafting
- Manage internal and external customer relationships, vendors, companies
- Respond to internal legal and compliance inquiries, including calls, emails and face-to-face
- Assist executive leadership with elevated legal and compliance inquires
- Provide training to company and its affiliates on substantive legal topics
- Implement necessary policy and procedure changes in order to comply with laws, rules, and regulation
- Partner to determine, initiate, and lead key legal and compliance initiatives
- Provide suggestions for new or enhanced events and/or services, assist in the development of events/services, and provide ongoing feedback to management
- All other duties as assigned
Whether your flight begins at our Minnesota or Kansas office, we’re committed to your ascent to your career’s maximum altitude. We help our employees thrive in their chosen field while also encouraging them to explore other parts of our company and the industry. We’re committed to our crew members in a way that truly shows that at Gradient, the sky really is the limit.
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