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Associate General Counsel
Duties: Promotes teamwork, cooperation and commitment to “Total Customer Satisfaction” among team members. Will work within the Legal Department (i) to advise the company and Senior Management on a broad range of legal matters, including identification of areas of risk and making suggestions for improvement; and (ii) with respect to due diligence, planning and implementation relative to all legal compliance matters, including domestic and in...
Compliance Officer - Research Clearance and Control Group
The candidate will review investment research authored by company's equity and fixed income research analysts and make a determination if the research can be approved pursuant to applicable US and foreign securities laws, including, where appropriate, suggesting edits to the research so it can be approved. The research to be reviewed includes fixed income and equity call notes, reports and marketing handouts on secu...
The candidate will provide guidance on rules and regulations relating to trading, sales practices, information barriers, trade reporting, and Dodd-Frank compliance as well as, provide transactional approvals and interpretation of internal compliance policies. Draft compliance policies and procedures Assist with regulatory inquiries and/or examinations. May include coordination with Regulators including, FINRA, SEC, OCC, Federal Reserve, and CFTC. Collabo...
Business Department Chairperson
The candidate will oversee the departments of Accounting/MIS, Business Administration, and Paralegal Studies. Responsible for the instructional programs of the Departments and the welfare of Department students, staff and faculty. Manage the financial affairs of the department including the Department Budget. Interact with the administrative staff and the other academic units of the College. Department Chairpersons report to the Divisional...
Financial Services Manager - Financial Services Risk Management - Regulatory Compliance - Traded Products and Wealth Management
The candidate will effectively manage and motivate client engagement teams with diverse skills and backgrounds. Will provide constructive on-the-job feedback/coaching to team members. Foster an innovative and inclusive team-oriented work environment. Play an active role in counseling and mentoring junior consultants within the organization. Foster...
Buffalo office seeks intellectual property attorney with 2+ years of experience. The candidate should have corporate, venture capital, and private equity experience. Should preferably have experience with entity formation and closely-held businesses, and a desire to work with startups and entrepreneurs. Experience in trademark law is a plus.
Counsel - Investments
The candidate will support the business lines within the Wealth and Institutional Services Division (WISD) of the Bank on a range of investment-related matters. Will advise on mutual fund, private fund and investment issues arising in the Retirement Services, Global Capital Markets (GCM) and Wealth Advisory Services (WAS) divisions of WISD relating to the investment of fiduciary and non-fiduciary customer assets. Assist other attorneys in the Legal De...