Contribute Your Legal & Regulatory Expertise to Our Team

An Empowering Career Awaits You in Law & Compliance

As a valued associate in our Enterprise Law and Compliance department, you can provide legal advice or regulatory compliance guidance and oversight to help ensure Western & Southern Financial Group meets its legal and regulatory obligations and requirements. Explore how you can apply your legal or regulatory expertise across various business areas by pursuing a rewarding career in our department.

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Master Skills Across Different Disciplines

As a member of our team, you will be exposed to a variety of law and compliance issues arising from our disciplines.

Corporate

Handle all litigation for various business units and shared services. Participate in regulatory initiatives related to privacy, cybersecurity, records management, fraud, anti-money laundering, regulatory examinations and complaints. Support corporate governance, corporate investments, including real estate, all contracting for the Enterprise and mergers and acquisitions.

Insurance

Provide advice regarding claims issues, servicing and insurance operations as well as manage insurance-related litigation. Contribute expertise in regulatory areas such as insurance product design and approval, marketing and suitability as well as monitoring of state insurance regulation and producer licensing requirements.

Registered Investment Adviser

Advise and oversee various registered investment adviser business models from a diversified asset management firm along with real estate investment and mutual fund adviser activities. Provide advice regarding private equity fund formation and investments.

Broker Dealer

Support all aspects of the compliance program, including maintenance and implementation of policies and procedures, training, anti-money laundering, employee and firm trading, and regulatory filings. Provide legal advice to retail broker dealer and limited purpose, business-to-business broker dealer. Responsible for ensuring the effective execution and sustainability of the SEC, FINRA and other regulatory requirements.

Mutual Fund

Provide legal or compliance advice to large, actively managed, sub-advised mutual fund family. Partner with business and product development to test regulatory requirement-related controls in business-level policies and procedures, identify control deficiencies and perform enhanced due diligence reviews of fund service providers.

Human Resources Support

Provide legal advice for Home Office and Field agent employees, including handling EEOC charges, employment litigation and employee benefits.

Benefits of Working in Law & Compliance

Excel in your professional development as a vital team member dedicated to helping to ensure Western & Southern Financial Group and its regulated subsidiaries continue to uphold their deeply-rooted commitment to compliance.

Subject Matter Expertise

Grow in your expertise as a subject matter expert. We support you along the way with a variety of ongoing professional development opportunities.

Proactive Approach

We continually engage your creativity and ingenuity through our proactive approach by encouraging you to think proactively to address a broad range of topics.

Collaborative Environment

Our collaboration across functions allows for cross-training and engaging learning experiences related to a wide variety of topics.

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Have a Question for Us?

If you need assistance or have questions about your application, please reach out to us.

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Meet Our Leaders

“One of our guiding culture principles is that we operate with the highest standards of ethics and integrity. This means that we always ensure we do what’s best for our clients and the company. As a result, our associates are an integral part of every business decision, and our legal and compliance advice is highly respected throughout the organization.”

Jonathan Niemeyer - Senior Vice President, Chief Administrative Officer & General Counsel

"Our enterprise compliance department continues to proactively assess and enhance the compliance program in order to respond to an evolving and increasingly complex regulatory environment. We look for talented and proactive individuals seeking to grow, develop and enhance their regulatory expertise."

Bruce Maisel - Vice President & Chief Compliance Officer

What Our Law & Compliance Associates Value Most in Their Jobs

“ Since joining compliance, I have had the opportunity to grow my career and gain experience in the industry. Management has encouraged me to develop the skills necessary to enhance myself as both a professional and an individual.”
— Abbey Blank Rolf - Director, Corporate Compliance¹

“ I’m amazed at the variety of work that crosses my desk on a daily basis. It’s interesting and challenging. In addition, I always feel that my advice is valued and that I’m an integral part of the business’ decision-making process.”
— Sarah Sparks Herron, Vice President, Associate General Counsel¹

Ready to Apply?

Browse a variety of engaging legal and compliance opportunities available.

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IMPORTANT DISCLOSURES

¹ Contributor is an employee of Western & Southern Financial Group. Personal views and opinions expressed are those of the contributor and do not necessarily reflect the views of Western & Southern Financial Group.