TENTATIVE

                                                                                              Occ. Code 6501470

New York State Department of Civil Service

Classification Standard

BRIEF DESCRIPTION OF CLASS SERIES

            Attorneys (Insurance) render professional legal services on matters of a high degree of difficulty involving Insurance Law and insurance companies.  Incumbents analyze and review facts; render opinions involving the application of State and federal statutes, regulations, and case law on insurance related issues; present written or oral statements regarding cases; prepare pleadings and affidavits; and represent the Department in court and/or non-disciplinary administrative proceedings. 

            These positions exist only at the Department of Financial Services.

DISTINGUISHING CHARACTERISTICS

            ASSOCIATE ATTORNEY (INSURANCE): provides legal advice on novel and/or potentially precedent setting cases relating to the administration of insurance laws.

            SUPERVISING ATTORNEY (INSURANCE): analyzes and interprets legal issues; provides expert advice on insurance issues; and oversees a unit.    

            PRINCIPAL ATTORNEY (INSURANCE): provides expert legal advice to executive management; and oversees the work of attorneys and other staff in the legal office. 

RELATED CLASSES

            Associate Attorneys supervise a group of attorneys responsible for providing legal advice and assistance to agency administrators and personally handle cases and issues that are novel, potentially precedent setting, or involve large sums of money.

            Supervising Attorneys supervise and manage the work of attorneys and other staff in an agencys legal office and provide expert legal advice to management.

            Principal Attorneys are in charge of a major legal division within an agencys legal office or serve as second-in-command of an agencys legal office.

ILLUSTRATIVE DUTIES

ASSOCIATE ATTORNEY (INSURANCE)

Directs the preparation of legal opinions and analyzes legislative and regulatory proposals which are requested by the Superintendent, Deputy Superintendent, bureau chiefs, the Governors Office, legislative staff, other State and federal agencies, regulated parties, and the public.

• Supervises Senior Attorneys in the preparation of draft opinions construing the Insurance Law, Insurance Regulations, and related federal and State laws and regulations.
• Supervises Senior Attorneys in their interaction with other bureaus in the preparation of regulations, circular letters, and legislative proposals to assure legal sufficiency and that Department policy and objectives are understood and accurately reflected in draft documents.
• Supervises Senior Attorneys in their technical analyses and impact assessments of proposed legislation on agency programs.
• Confers with the Principal Attorney and Supervising Attorney concerning the preparation of draft opinions, legislation, and circular letters that may alter Department precedents in areas such as investments of insurers, insurers risk limits, reinsurance transactions, and holding company transactions; prepares written or oral statements summarizing existing precedent; makes suggestions when change is needed; and suggests solutions.  

Renders opinions concerning complex aspects of Insurance Law, including what constitutes insurance business and what kinds of insurance products are allowed to be marketed in New York.

• Reviews existing Department opinions and legislative documents.
• Reviews relevant federal and State statues, regulations, and case law.
• Discusses legal issues with appropriate bureaus to determine their views concerning collateral matters such as financial requirements, forms, and rate approval.

Coordinates court litigation in unusual or difficult matters, which may involve contact with other State agencies that are parties to the litigation or have an interest in the litigation, and/or renders legal opinions concerning matters involving complex issues such as novel insurance products, unique reinsurance transactions, ancillary investment of insurers, complicated holding company transactions, unfair competition, and deceptive acts ad practices. 

• Conducts research on and analyzes relevant information.
• Reviews draft pleadings and drafts affidavits.
• Prepares thoroughly researched and reasoned opinions.
• Appears in court arguments and assists in responding to inquiries by the court.
• Appears at depositions and represents the interests of the Department by making appropriate objections, asking appropriate questions, and cross examining witnesses.
• Coordinates with Assistant Attorneys General on litigation involving appeals of disciplinary administrative proceedings where the Departments interests are represented by the Department of Law.

May supervise subordinate attorneys and paralegal staff.

• Assigns cases and directs the focus of research assignments to provide analysis on the intricacies of insurance regulation.
• Encourages discussion among attorneys of assignments involving particular issues of mutual interest.
• Reviews draft pleadings and opinions.
• Oversees technical analysis and impact assessments of proposed legislation on agency programs
• Evaluates subordinates performance.
• Develops and implements staff training and development plans as needed. 

SUPERVISING ATTORNEY (INSURANCE)

Advises on legislative matters and legal issues in connection with various investment products including derivatives, capital markets, company transactions including acquisitions and mergers, and banks conducting insurance business.

• Provides legal advice to Department personnel and regulated entities by rendering opinions involving matters of a high degree of difficulty and requiring a practical expertise in the Insurance Law.  

·         Analyzes issues and facts presented, obtaining needed clarification and additional factual material by corresponding with inquirers; identifies key concerns; determines legal issues involved; and identifies and researches relevant federal and State statutes, regulations and case law, and prior Department opinions in order to prepare opinions.      

• Provides legal advice to Superintendent in the development of policy and the interpretation of law with respect to various investment products.
• Consults with and advises attorneys representing industry groups and financial service groups of the Departments position.
• Assists in drafting legislation and makes reports and recommendations for the Superintendent, and Deputy Superintendent & General Counsel with respect to bills before the State Legislature that involve proposed additions, changes, or repeals of the Insurance Law and other laws that will impact the operations of the Department.
• Oversees subordinate staff in the preparation of the analysis of legislative and regulatory proposals and supporting memoranda.
• Assists legislative leaders by reviewing and explaining Department programs relating to financial transactions and investments.

Supervises subordinate attorneys and paralegal staff.

• Assigns cases, directs the focus of research assignments to provide analysis on the intricacies of insurance regulation, and encourages discussion among attorneys of assignments involving particular issues of mutual interest.
• Reviews draft pleadings and opinions.
• Oversees technical analysis and impact assessments of proposed legislation on agency programs
• Evaluates subordinates performance and assists the Principal Attorney in the development of training programs for newly hired attorneys.

• Supervises Associate and Senior Attorneys in coordinating court litigation involving appeals of disciplinary administrative proceedings and non-disciplinary proceedings.

Ensures that the Departments interests are represented properly on matters before the courts.

• May attend court proceedings with the Assistant Attorney General and respond to inquiries of the court.
• May attend depositions of Department personnel and represent the interests of the Department by making appropriate objections, asking appropriate questions, and cross-examining witnesses.
• Appears in court to provide oral arguments in support of the Departments position.
• Acts in conjunction with ranking counsel of the Department or other outside counsel on complex litigation involving interpretations of the Insurance Law.
• Determines when the Departments interests will be best served by being represented by outside counsel or a Department attorney.
• Oversees case management where direct representation is authorized.
• Provides periodic reports to Principal Attorney regarding ongoing administrative and court proceedings.

Represents the Department in meetings with senior government, industry, and legislative representatives regarding proposals to amend the Insurance Law. 

• Reviews existing legal and policy positions of opposing parties.
• Prepares Departments position by reviewing legal precedent and Departments policy positions.
• Provides advice on misinterpretations concerning law and policy.

Coordinates Insurance Law and insurance industry issues with federal and State governments and agencies, and quasi-governmental agencies.

• Serves as a point of contact for information on insurance proposals that have an impact on New York State governments, business, and the insurance industry.
• Maintains and develops relationships with the insurance departments of other states.

PRINCIPAL ATTORNEY (INSURANCE)

Serves as an assistant to the Deputy Superintendent & General Counsel, and the Deputy General Counsel by ensuring that the Departments interests are properly represented in all litigation and administrative proceedings and providing legal advice to the Superintendent, First Deputy Superintendent, and bureau chiefs on novel legal issues.

·       Evaluates all litigation; discusses matters with bureau chiefs to identify Department concerns and with representatives of state and federal regulatory bodies where matters concern laws administered by such bodies.

·       Prepares written opinions; reviews regulations and circular letters, and drafts pleadings, affidavits, responses to questions by opposing parties, questions for cross-examination, documents in response to subpoenas, and compilation of privilege logs. 

·       Monitors depositions; may attend depositions of Department personnel to represent the interests of the Department by making appropriate objections; and asks appropriate questions.

·       Coordinates litigation involving more than one unit and ensures that consistent positions of the Department are advanced.

Oversees all administrative actions of a Section to ensure that the Departments disciplinary actions are appropriate and consistent.

·         Reviews all requests for administrative action against licensees and others subject to Department jurisdiction.

·         Oversees the preparation of cases for disciplinary action and supervises attorneys in preparing cases for hearings.

Oversees the implementation of recently enacted legislation and the development of new policy.  

·       Conveys decisions reached at senior staff meetings to subordinate staff. 

·       Ensures that policy directives are implemented.   

·       Oversees the preparation of corrective legislative amendments to address technical defects in legislation, furnishing legal advice concerning the scope, meaning, and effect of particular statutory provisions, and the preparation of regulations and Circular Letters.   

Supervises a subordinate staff.

• Oversees the assignment of cases and focus of research used to provide analysis on the intricacies of insurance regulation.
• Reviews draft pleadings and opinions.
• Oversees technical analysis and impact assessments of proposed legislation on agency programs.
• Evaluates subordinates performance.

·         Develops training programs for newly hired attorneys; prepares profiles for recruitment of new attorneys; and interviews and selects prospective candidates.

Participates in meetings and conferences within and outside the Department, requiring senior levels of legal/policy expertise.

·         Prepares for meetings by reviewing background literature including specialized journals and publications.

·         Researches and analyzes historical and legal origins of existing law, policy positions, and legislative drafts.

·         Prepares Departments legal position on issues and presents position orally and in writing.

MINIMUM QUALIFICATIONS

ASSOCIATE ATTORNEY (INSURANCE) 

Promotion:  one year of service as a Senior Attorney or Senior Attorney (Various Parenthetics). 

SUPERVISING ATTORNEY (INSURANCE)

Promotion:  one year of service as an Associate Attorney (Insurance). 

Non-Competitive: Admittance to the New York State Bar and five years of post-bar legal experience in the insurance/financial services field.

PRINCIPAL ATTORNEY (INSURANCE)

Promotion:  one year of service as a Supervising Attorney (Insurance).

Date:  6/12

NOTE: Classification Standards illustrate the nature, extent and scope of duties and responsibilities of the classes they describe. Standards cannot and do not include all of the work that might be appropriately performed by a class. The minimum qualifications above are those which were required for appointment at the time the Classification Standard was written. Please contact the Division of Staffing Services for current information on minimum qualification requirements for appointment or examination.