Learn About 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. SEARCH LAW & COMPLIANCE JOBS 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.