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Investigator, Corporate Financing
Duties: Reviews member corporate financing activity for compliance with Authority and SEC rules and other securities laws. Conducts investigations of cases which have been identified as potential areas of concern relating to private placements and other. This is intermediate-level professional work in which incumbents are performing their assigned roles, developing job-related skills, and working under limited supervision. Conducts indepen...
Counsel - Market Regulation
The candidate will participate in examinations, investigations and disciplinary proceedings on behalf of the Market Regulation Department for violations of the Association’s rules and the federal securities laws and provides legal advice and counsel to the staff of the Department. Under the direct supervision of the Chief Counsel or Assistant Chief Counsel to the Market Regulation Department, the attorney will engage in the following activitie...
Program Control Principal
The candidate will be responsibilities may include: implementation of financial policies and procedures in support of projects; establishment and maintenance of cost/schedule baselines. Will work on development of WBS and related dictionaries, schedules or Resource Loaded Networks (RLN's) and budgets; implementation of Earned Value methodologies and performs related variance analyses; and preparation of written and verbal reports to management reg...
The candidate must have commercial finance experience, including experience in lending transaction, secured loans, and banking matters. Should have strong academics and communication skills.
Banking & Capital Markets Tax Director
Duties: Serves every segment of the banking industry - consumer/ retail banking, commercial banking, wholesale banking, mortgage banking, securitization, capital markets, etc. Ever-changing regulatory and other critical developments affecting domestic and international banking institutions can be challenging and are often downright overwhelming. Anticipate, understand, and resolve emerging issues at the forefront of the banking indust...
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Assurance Advisor, Assurance (Financial Accounting Advisory Services) (Manager)
Duties: Provide financial accounting, audit, and advisory services to corporate clients, serving as a trusted business advisor to help clients identify the right alternatives to address complex accounting and reporting issues. Work on a team of professionals to assist in such areas as GAAP conversion, commodities, hedging, and advising companies that are increasing their M&A activity, undertaki...
Senior Legal Specialist - Commercial Bank
Duties: Managing intake and review of non-disclosure and non-reliance agreements. Providing deal support on complex financing transactions, including assistance with due diligence, closing checklists and deal document files.. Maintaining an accurate portfolio breakdown. Manage licensing for legal entities. Manage form document libraries. Coordinate with underwriting and operation functions on filing and termination of UCC; conduct ...
Consumer Financial Services Lawyer
The candidate will provide legal advice to bank and non-bank consumer financial services companies concerning a broad range of legal issues, including compliance with federal and state statutes and regulations applicable to consumer credit, privacy, data security, residential lending and brokering, deposit issues and licensing. Must have portable practice (minimum $300,000).