Legal & Compliance Internship - Summer 2019

West Des Moines, IA
Practice Areas: NA
Sammons® Financial Group’s (SFG) member companies offer some of today’s most sought after life insurance, annuity, and retirement planning products. Unlike most financial organizations, our companies are not publicly traded, which means we’re focused on long-term value rather than short-term earnings pressures. As a privately held company, our leaders and employees remain consistently focused on long-term growth, making decisions that allow us to deliver on our commitments to customers, distribution partners, our employees, and our communities. Individually, our companies provide value in the products and services they offer. Together we represent a history of strength and longevity.

Here is what you can expect when you join SFG:
  • A Casual dress code which includes jeans.
  • A rich company culture driven by private ownership and intentional leadership that inspires employees to engage in our healthy, high-performing and values based culture.
  • Healthy balance between work and personal lives. Friday afternoons off all year long.

Our Internship program is designed to give students experience with projects and performing tasks within their hired work area. You will be exposed to other areas within the organization by participating in development, culture and volunteer events. This paid internship is 8-10 weeks in length with the possibility of extending hours into the school year.

The program holds an 80/10/10 approach, meaning that 80% of your work time will involve performing tasks or working on projects within your hired work area. Another 10% of the time, you will be exposed to learning in other areas within your assigned division to get more corporate experience. Then, the final 10% will be spent in shared experiences across the organization, where you will get to really learn about our culture and work environment

Here's what you can expect as the Legal and Compliance Intern.
You will be 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).
  • Learn analysis, review and processing of suitability of annuity applications using the appropriate company systems.
  • Interact with agents verbally and in writing regarding customer complaints and suitability reviews in a professional manner.
  • Assist Operational Compliance team with the review, research and response to customer and regulatory complaint correspondence.
  • Provide objective, thorough, timely and well-researched responses as requested and as assigned by the attorneys in the Legal Department.
  • 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.
  • Provide litigation assistance as required, including work on discovery for individual lawsuits and class actions.
  • Navigate the organization for available resources to provide problem resolution assistance as needed to support Compliance and Legal responsibilities.
  • Assist with other tasks as assigned.
  • Maintain a positive image of the company in work actions and interactions with other’s serving as a representative of the organization.
  • 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.
  • All other tasks and projects as assigned by management.

  • 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

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