Overview

  • The Retirement Services (Senior) Counsel will provide operational legal guidance to the business unit relating to all ADP Retirement Services products, services and client companies. Provides advice and support on a wide variety of legal matters to Retirement Services management and staff, with the main focus on issues related to compliance with the DOL Fiduciary Rule and rules governing investment advisors and broker-dealers. Serves as a legal resource for Retirement Services in resolving regulatory, training, record-keeping, and reporting and disclosure requirements, as well as actual or potential claims or lawsuits and governmental inquiries. Keeps abreast of changes to relevant laws relating to regulatory requirements governing qualified retirement plans, broker-dealers and investment advisors. Experience at a financial services company and/or with FINRA regulatory concerns is a plus.
  • At ADP we are driven by your success. We engage your unique talents and perspectives. We welcome your ideas on how to do things differently and better. In your efforts to achieve, learn and grow, we support you all the way. If success motivates you, you belong at ADP.
  • We strive for every interaction to be driven by our CORE values: Insightful Expertise, Integrity is Everything, Service Excellence, Inspiring Innovation, Each Person Counts, Results-Driven, & Social Responsibility

RESPONSIBILITIES:

  • Evaluate and provide advice and direction with respect to diverse projects relating to systems enhancements, communication materials, new product development, marketing alliances and other similar initiatives to ensure those projects and initiatives comply with applicable laws and do not expose ADP to unacceptable legal liabilities.
  • Analyze, recommend and assist in implementing procedures and workflows to bring the provision of services to clients into compliance with new and existing laws and regulations.
  • Develop forms of client contracts and negotiate agreements with clients.
  • Draft and negotiate contracts with business partners (for example, trustees) and vendors.
  • Resolve day-to-day compliance and operational questions.
  • Resolve potential claims and/or lawsuits with clients.

REQUIREMENTS:

  • Bachelor’s degree & Law School JD required. 5+ years of legal experience, particularly in the areas of Financial Services, ERISA, or FINRA.
  • Experience in the 401(k) record-keeping industry or as outside counsel to 401(k) record-keeping, if possible.
  • Must be a strong business partner with the ability to solve legal issues with the business solutions in mind. Ability to propose solutions keeping the business concerns in mind.
  • Excellent written and oral skills required including the ability to communicate clearly and simply to all levels of associates, legal and non-legal.
  • Possess strong analytical and skills.
  • Ability to work independently without close daily supervision and be able to take substantial responsibility for completion of their projects.

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