Assistant General Counsel

Penn Mutual•Philadelphia, PA

61d•$160,000 - $170,000•Remote

About The Position

We are looking for an Assistant General Counsel who will report to the Associate General Counsel. In this role you will support all aspects of Penn Mutual’s legal and investigative functions. This role handles litigation matters on behalf of Penn Mutual and its affiliates, including its Registered Investment Adviser and Broker-Dealer Hornor Townsend & Kent (HTK). The role also coordinates and conducts reviews and investigations, manages regulatory exams and inquiries, supports Penn Mutual’s privacy functions, and delivers training to employees. As a key member of the Law Department, this position handles and enhances internal processes for customer complaint investigations and provides strategic legal advice across litigation and regulatory domains. Penn Mutual embraces a flexible, remote work approach, empowering employees to choose where they work best.

Requirements

Knowledge of litigation processes, including discovery and evidentiary rules
Knowledge of state insurance, securities, FINRA & SEC rules and regulations
Knowledge of federal, state, and local employment laws
Strong business acumen in life insurance & broker dealer industries
Excellent verbal and written communication skills
Relationship-building and influencing skills
Tactical and strategic thinking
Proactive, values-driven, and relationship-based approach
Strong leadership, ethics, integrity, and discretion
Sound judgment
Complies with all company and site policies and procedures
Remains current in profession and industry trends
Successfully completes regulatory and job training requirements
Performs other duties as assigned
Demonstrates a commitment to AI fluency by embracing AI tools and technologies to enhance individual and team performance, decision-making, and innovation
Juris Doctorate from an accredited law school (required)
Admission to the bar of at least one state and eligibility for PA bar’s Limited In-House Corporate General License (required)
Former litigation, prosecutorial, or regulatory experience (required)
8–10 years in compliance/legal background within insurance, securities, financial services or criminal law (required)
Experience managing corporate investigations (required)
Experience interacting with law enforcement or regulatory bodies (SEC, state insurance/securities departments) (required)
Litigation experience, including federal, state insurance litigation, FINRA arbitration, and managing outside counsel (required)
Experience in employment law matters (required)

Responsibilities

Handle lawsuits, arbitrations, and pre-litigation matters on behalf of Penn Mutual and HTK
Collaborate with outside counsel on litigation strategy and tactics
Manage outside counsel in securities regulatory enforcement matters
Manage discovery processes, including subpoenas and document management
Prepare for trial or arbitration, including witness preparation
Advise internal stakeholders on litigation, risk management, and claims
Identify and mitigate legal risks
Participate in settlement negotiations
Coordinate, direct, and conduct reviews and investigations for Penn Mutual and HTK
Respond to, manage, and investigate some customer complaints
Develop and enhance internal procedures for complaint investigations
Communicate investigation outcomes to leaders
Perform root cause analysis and recommend policy/procedure changes
Advise business leaders on compliance/regulatory changes and trends
Maintain the Anti-Fraud Plan for Penn Mutual and affiliates
Manage state insurance department examinations and regulatory inquiries
Oversee SEC, FINRA, and state securities/insurance department examinations
Investigate and resolve employment-related disputes in conjunction with HR
Develop and deliver training programs on legal topics
Partner with HR, business leaders, and Law Department lawyers on employment issues