RiverStone · 22 hours ago
Compliance Counsel
Manchester, NH
Full-time
Onsite
Senior Level, Lead/Staff
$140K/yr - $180K/yr
8+ years expRiverStone is a company that focuses on compliance and legal counsel for corporate matters. The Compliance Counsel is responsible for overseeing the Compliance Program and providing legal guidance on corporate issues, ensuring adherence to regulatory requirements and company policies.
Financial ServicesInsurance
Responsibilities
Develops, initiates, maintains, and revises policies and procedures for the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct
Reviews and updates, as warranted, compliance policies, including the company Code of Conduct, to ensure continuing relevance and consistency in providing guidance across the organization. Works closely with General Counsel, HR, ExCo, and, where necessary, Fairfax contacts, to ensure consistency across compliance policies
Manages day-to-day operation of the Compliance Program, implementing controls and metrics manage compliance exposures
Collaborates with other departments, in particular Corporate Audit Services, to identify and mitigate compliance issues and utilizes appropriate channels for investigation and resolution. Consults with internal and, as appropriate, external attorneys as needed to resolve legal compliance issues
Responds to reported or potential violations of rules, regulations, policies, procedures, and Code of Conduct, liaising with HR where appropriate
Develops and manages a system for fair and (where possible) uniform handling of any policy violations and related investigations
Oversees overall compliance with Records Retention policy, and works with records management to ensure adherence to policy in the handling of corporate records
Identifies regulatory and other external issues and trends, recommending actions to smitigate potentially new compliance exposures
Provides reports on a quarterly basis, or as required, to keep the Executive Committee and appropriate Board and senior management informed of the operation and progress of the Compliance Program
Oversees and ensures proper reporting of violations or potential violations as required by law
Institutes and maintains an effective compliance communication program for the promotion of compliance awareness throughout RiverStone, including use of the Ethics (or “whistleblower”) Hotline and training programs for associates
Provides legal counsel on corporate matters, including contracts, transactions, and risk management
Drafts, reviews, and negotiates contracts and other legal documents, advising internal stakeholders concerning such matters and representing RiverStone with external parties
Reviews and manages various regulatory matters, including regulatory applications and approvals, coordination of regulatory examinations, and responses to complaints received from state departments of insurance
Advises on regulatory, legislative, and legal issues affecting the conduct and operation of the business
Supports internal investigations and dispute resolution
Leads on matters associated with effective corporate governance, board matters, and legal entity management
Liaises with external counsel as needed for specialized legal matters
Undertakes legal research and prepares memoranda on issues related to the management of corporate matters
Supports the development and delivery of legal training for associates
Qualification
Required
Minimum 8 years of experience in a legal and compliance role for an insurance company, or providing legal and compliance advice to financial services institutions
Insurance company experience and understanding of corporate compliance and regulatory issues
Four-year college degree, plus Juris Doctor
Company
RiverStone
We Deliver RiskSmart Run-Off(R) Solutions With Global Reach Aligning risk with the need for capital efficiency and greater business focus is a key challenge for insurers and reinsurers.
201-500 employees
Funding
Current Stage
Growth StageLeadership Team
Debbie Irving
Executive Vice President & Chief Financial Officer
Bob Sampson
Executive Vice President, Chief Claims Officer at The RiverStone Group
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