Title: Compliance Attorney, Securities Job Responsibilities: The Compliance Attorney, Securities is a critical role within the company's Securities Compliance Department, which oversees two Broker-Dealers and a Registered Investment Adviser. The primary responsibilities include the interpretation and application of securities laws and regulations...
Title: Compliance Officer, Securities Job Responsibilities: The Compliance Officer, Securities, plays a crucial role within the Securities Compliance Department, which serves two Broker-Dealers and a Registered Investment Adviser. The primary responsibilities include: - Interpreting new and existing securities laws and regulations to provide...
Title: Trial Attorney Job Responsibilities: - Handle legal work on assigned cases and aggressively pursue files referred by the Claims Department. - Create and maintain a documented strategy for case handling in each assigned case, considering intangible factors such as the judge, plaintiff...
Title: Sr. Counsel, Consumer Transactions Job Responsibilities: - Provide legal counsel on motor vehicle sales, motor vehicle optional accessories/products, remarketing, and dealership operations. - Advise on retail installment sales, leasing, and online-to-offline consumer sales experiences. - Ensure compliance of consumer products and processes with...
Title: AI and IT Compliance Consulting Director Job Responsibilities: - Lead AI Governance: Serve as the Compliance AI Program Owner, overseeing the intake, triage, and lifecycle management of AI initiatives. Ensure responsible, ethical, and compliant AI implementation. - Regulatory Strategy: Monitor global legislative...