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Legal & Compliance Intern - Summer 2019

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Date: Nov 24, 2018

Location: Sioux Falls, SD, US, 57108

Company: Sammons Financial Group

Responsible for supporting the Compliance and Legal Departments with respect to life insurance and annuities.  Within Compliance, work  with its Operational Compliance  and/or Market Conduct areas by assisting with analyzing financial needs, researching and responding to customer concerns and regulatory inquiries, investigative research, drafting of correspondence and other responsibilities as assigned.   Provide support to the Legal Department relevant to life insurance, annuities, litigation and general corporate matters, including assisting in-house counsel by processing work of a complex nature (examples include contracts, agreements, governmental and regulatory filings, and documents related to litigation, arbitration and transactions).

 

Essential Functions:

  1. Learn analysis, review and processing of suitability of annuity applications using the appropriate company systems.
  2. Interact with agents verbally and in writing regarding customer complaints and suitability reviews in a professional manner.
  3. Assist Operational Compliance team with the review, research and response to customer and regulatory complaint correspondence.
  4. Provide objective, thorough, timely and well-researched responses as requested and as assigned by the attorneys in the Legal Department.
  5. Research and analyze legal sources such as statutes, case law, articles, treatises and legal codes to prepare and to assist in the preparation of legal documents.
  6. Provide litigation assistance as required, including work on discovery for individual lawsuits and class actions.
  7. Navigate the organization for available resources to provide problem resolution assistance as needed to support Compliance and Legal responsibilities.
  8. Assist with other tasks as assigned.
  9. Maintain a positive image of the company in work actions and interactions with other’s serving as a representative of the organization.
  10. As stated within the Company Attendance and Punctuality policy, regular attendance is required and expected in order to meet the business service levels and workflow demands.
  11. All other tasks and projects as assigned by management.

 

Qualifications:

  • Individuals pursuing their Juris Doctorate
  • Strong communication skills, both verbal and written
  • Strong Computer skills, including Microsoft Word and Excel
  • Demonstrated ability to conduct accurate and timely research


Nearest Major Market: Sioux Falls

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