Apply on Employer Site

Penn Mutual · 1 day ago

Assistant General Counsel

United States

Full-time

Remote

Senior Level, Lead/Staff

$160K/yr - $170K/yr

8+ years exp

Penn Mutual is seeking an Assistant General Counsel to support all aspects of its legal and investigative functions. This role involves handling litigation matters, managing regulatory inquiries, and providing strategic legal advice across various domains.

Financial ServicesInsurance

Responsibilities

Handle lawsuits, arbitrations, and pre-litigation matters on behalf of Penn Mutual and HTK

Collaborate with outside counsel on litigation strategy and tactics

Manage outside counsel in securities regulatory enforcement matters

Manage discovery processes, including subpoenas and document management

Prepare for trial or arbitration, including witness preparation

Advise internal stakeholders on litigation, risk management, and claims

Identify and mitigate legal risks

Participate in settlement negotiations

Coordinate, direct, and conduct reviews and investigations for Penn Mutual and HTK

Respond to, manage, and investigate some customer complaints

Develop and enhance internal procedures for complaint investigations

Communicate investigation outcomes to leaders

Perform root cause analysis and recommend policy/procedure changes

Advise business leaders on compliance/regulatory changes and trends

Maintain the Anti-Fraud Plan for Penn Mutual and affiliates

Manage state insurance department examinations and regulatory inquiries

Oversee SEC, FINRA, and state securities/insurance department examinations

Investigate and resolve employment-related disputes in conjunction with HR

Develop and deliver training programs on legal topics

Partner with HR, business leaders, and Law Department lawyers on employment issues

Qualification

Juris DoctorateLitigation experienceRegulatory compliance knowledgeCorporate investigations managementEmployment lawsBusiness acumenTacticalEthicsCommunication skillsRelationship-building skillsStrategic thinkingLeadership

Required

Juris Doctorate from an accredited law school (required)

Admission to the bar of at least one state and eligibility for PA bar's Limited In-House Corporate General License (required)

Former litigation, prosecutorial, or regulatory experience (required)

8–10 years in compliance/legal background within insurance, securities, financial services or criminal law (required)

Experience managing corporate investigations (required)

Experience interacting with law enforcement or regulatory bodies (SEC, state insurance/securities departments) (required)

Litigation experience, including federal, state insurance litigation, FINRA arbitration, and managing outside counsel (required)

Experience in employment law matters (required)

Knowledge of litigation processes, including discovery and evidentiary rules

Knowledge of state insurance, securities, FINRA & SEC rules and regulations

Knowledge of federal, state, and local employment laws

Strong business acumen in life insurance & broker dealer industries

Excellent verbal and written communication skills

Relationship-building and influencing skills

Tactical and strategic thinking

Proactive, values-driven, and relationship-based approach

Strong leadership, ethics, integrity, and discretion

Sound judgment

Complies with all company and site policies and procedures

Remains current in profession and industry trends

Successfully completes regulatory and job training requirements

Performs other duties as assigned

Demonstrates a commitment to AI fluency by embracing AI tools and technologies to enhance individual and team performance, decision-making, and innovation