Title: Vice President & Deputy General Counsel Job Responsibilities: - Provide day-to-day legal counsel on general corporate, litigation, regulatory, and compliance matters. - Lead and mentor legal team members across various functional areas, including transactions, financing, disputes and claims, employment, insurance, and records...
Title: Senior Securities Counsel Job Responsibilities: - Draft, review, and negotiate contracts related to the company's ETF and mutual fund distribution business. - Research and provide legal advice regarding FINRA regulatory and broker dealer compliance issues. - Manage communication and interaction with clients, service...
Title: Consultant/Wealth Management Compliance Job Responsibilities: - Lead or assist in mock regulatory examinations and compliance program reviews, which includes preparing document requests, reviewing documents, conducting interviews, and drafting reports. - Conduct a broad scope of work during client reviews of varying complexity...
Title: BDC (Business Development Company) Compliance Officer Job Responsibilities: - Lead or assist in all aspects of mock regulatory examinations and compliance program reviews, including preparing document requests, reviewing documents, conducting interviews, and drafting reports. Oversee and review the work...
Title: Legal Counsel 3 (Commercial Americas) Job Responsibilities: - Drive Commercial Success: Structure, draft, and negotiate a diverse portfolio of commercial agreements, including customer credit and card program agreements, technology and partnership contracts, and vendor service agreements. Provide legal support for RFP...