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Years of Experience
Date Last Verified
Senior Counsel The will be responsible for and oversee the company’s compliance program and staff, including policy and procedure development, testing and monitoring, training, and management of regulatory examinations and audits. Will provide well-reasoned, concise counsel on legal risks associated with current, proposed, and anticipated business activities, balancing business goals with legal risks. Will function and interact as a member of the management team. Will support the Legal Officer in governance, vendor management, privacy, information security, technology and other legal matters as needed. Provide advice on legal issues to various levels of staff and management at Company, and related entities, and educate business leaders on proactive measures and approaches to manage potential legal exposure. Provide regulatory counsel on bank and trust power related matters including compliance program, privacy, information security, anti-money laundering, vendor management, marketing, corporate governance, and compliance with the DOL Fiduciary Rule. Monitor, review, interpret and prioritize state and federal banking and trust rules and regulations in an active and ever-changing regulatory environment, and coordinate with business leaders to engage on advocacy and implementation. Maintain a key role in strategic business discussions and evaluate the impact decisions have throughout the company. Identify potential legal or regulatory issues which may impact the organization’s business strategy, products, or business conduct and provide proactive legal advice accordingly. Provide legal advice regarding OCC regulatory inquiries and exams and lead interaction with regulators. Conduct research, review, analyze and draft various documents, contracts, policies, procedures and obligations to which the company is or may become a party. Identify legal issues outside of general area of expertise and collaborate with other attorneys and compliance professionals in their resolution. Address other strategic issues as assigned.
Qualification and Experience
Qualifications: JD Degree, member of the Bar. 7+ years of relevant, high-quality legal experience. Subject matter expertise in one or more relevant areas of regulation and law including bank, trust, privacy, and/or information security laws and regulations. Financial regulatory experience (bank, trust, investment, regulatory). Strong working knowledge of the financial services, insurance, banking and/or trust industries, including issues associated with manufacturing, administration and distribution of related products and services. Excellent interpersonal, problem-solving, and leadership skills. Knowledge of relevant bank and trust regulatory compliance laws including OCC regulations, Reg 9 trust powers, Bank Secrecy Act, and/or Regulation P Privacy. Experience with bank regulators, OCC a plus. Board corporate governance, contract review and negotiation, and vendor due diligence experience a plus. Consultation skills will be critical in this role in order to provide well-reasoned, concise counsel on legal risks while helping to achieve business oriented goals. Able to act independently, and as part of a team, in providing legal advice on specified legal issues affecting the company; to communicate with and counsel all levels of the company – including senior management.
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