Caleb Nicholson Email & Phone Number

St. Paul, Minnesota, Us

Provide legal advice and risk based guidance for the full life cycle of fixed, fixed indexed, and variable annuities. This includes product development, state form filings, N-4 registration statements, negotiation of distribution agreements, new business, and in-force administration issues.Stay abreast of provide legal insight on enterprise initiatives related to state insurance laws and federal regulatory change including state and federal standards of conduct.

St. Paul, Minnesota, Us

Provided legal advice and support for Securian Financial's Individual Annuity business line, including product development, distribution, ongoing servicing operations, and regulatory filings at the state and federal level.Provided legal guidance and support for Securian Financial Services, Inc.'s retail broker dealer and investment advisory operations related to consumer complaints, product support, and compliance with new regulations.

Minneapolis, Mn, Us

I managed highly complex regulatory inquiries across multiple business lines. As part ofthis process I collaborated with business clients and legal counsel to assess and mitigate risk, developstrategies and resolve interpretive questions. I was responsible for the development and submissionof the regulatory responses. In addition to my core responsibilities, I advocated for and supported thedevelopment of operational efficiencies within Regulatory Affairs and other areas of the business.

Minneapolis, Mn, Us

I handled a docket of regulatory inquiries from federal and state regulatory agencies aswell as FINRA. I collaborated with business partners across the enterprise to research issues, identifyrelevant regulatory guidance, conduct risk analysis, and prepare responses. I also worked across theorganization to help effect process and policy enhancements to mitigate future risks.

Minneapolis, Mn, Us

I handled the resolution of customer complaints, including those received through various state and federal regulators, regarding company services and products. The reviews resulted in written dispositions provided to regulators and/or clients. During the review process, I analyzed issues related to tax reporting, product suitability, product operations, service, account transfers, and trade execution, among others.I reviewed and approved complaint response letters for several team members. I also provided training and mentoring for new team members.

Minneapolis, Mn, Us

As a Compliance Analyst I reviewed consumer complaints, and provided written dispositions. Where applicable, I would collaborate with business partners to implement changes or recommend best practices in order to reduce risk to the firm. I also contributed to educational/resource materials distributed within the firm.

Toronto, On, Ca

As a Reference Attorney II, I provided research support and education for customers utilizing Thomson Reuters products including WestlawNext, Westlaw Classic, and Westlaw Tax, among others. Support the products through email, live chat, and telephone. I also conducted in-depth legislative history searches on the state and federal level.I researched in a broad array of content from federal and state government, as well as Self Regulatory Organizations (SROs) by analyzing complex research questions and fact patterns to formulate searches that locate relevant content. I wrote articles on how to research more effectively for newsletters distributed to the Internal Revenue Service and Federal Judiciary.

Toronto, On, Ca

I quickly distilled legal issues from complex fact patterns, and efficiently conducted legal research on a broad array of topics. I also provided education to customers on how to run complex regulatory searches across the nation in areas such as finance and healthcare in order to stay up to date on changing regulations. I also generated ideas for customer publications and authored articles providing research advice for the Internal Revenue Service and Federal Judiciary.

Richfield, Minnesota, Us

Assisted with securities compliance matters by researching recent changes in SEC regulations due to the result of the continued implementation of the Dodd-Frank Act. Reviewed recent proposals by the New York Stock Exchange (NYSE) that have been implemented or approved by the SEC. Helped interpret rule changes and recommended updates to certain compliance practices. Conducted legal research on litigation and state business compliance matters. I drafted litigation correspondence and edited and revised commercial contracts to ensure internal and external consistency.

Assisted clinic attorneys during clinic hours, summarized clients' legal problems for record keeping, and sat in on client consultation sessions. The clinics provided legal and business advice to start up and small businesses, including entity formation, tax planning, and intellectual property protection.

Responsible for analyzing the results of a yearly survey. Identified trends within the survey data and and presented the information to the committee overseeing the project so they could evaluate the various programs.

Conducted legal research, drafted court orders, and wrote bench memos for the Honorable Judge Jane Ranum.

Superior, Wi, Us

Connected students with on campus tutoring services. Provided academic advice and assisted students with developing academic success strategies. Helped increase student attendance at programs and took steps to foster faculty-student interaction through various programs.

Superior, Wi, Us

Responsible for drafting correspondence, responding to customer calls, creating presentations, filing, and general clerical work.

Juris Doctor (J.D.), Law

Study Abroad, Studied Taxation Within The European Union

Bachelor'S Degree, Legal Studies And Philosophy