Reviews member corporate financing activity for compliance with FINRA and SEC rules and other securities laws. The Senior Analyst 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.
Essential Job Functions:
Cond... read more
The Enforcement Counsel resolves non-complex Enforcement matters, and contributes meaningful high quality work for large complex matters.
Essential Job Functions:
Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy.
Execute an effective risk-based legal strategy to assess the record fairly.
Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case.
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Render legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives, and serve as subject matter resource in one or more areas of legal expertise.
This is experienced-level professional work in which incumbents are defining their assigned roles, increasing their skills, and working with other experienced attorneys.
Essential Job Functions:
Provide interpretative advice to the Board of Governors and FINRA adv... read more
Senior Manager, Senior Counsel – Transactions
Duties: Assisting in managing (including drafting and negotiating) a wide range of transactions including: supporting the transactional needs of our Card business, such as card program agreements, digital partnership agreements, and agreements relating to our B2B credit management program mergers and acquisitions. Working with complex due diligence reviews, business line partnerships, portfolio sales and acquisitions, allianc...
Candidate will provide legal advice to sector executives and business partners on a broad range of subject matters with an emphasis on U.S. and international government, commercial, and supply chain contracts. Will also include managing outside counsel, and coordinating with legal specialists inside the company to support litigation, internal investigations, intellectual property, export, ethics and business conduct, anti-corruption, employment, and other...
The candidate will collaborating with more senior attorneys to provide advisory support to internal clients on mortgage eligibility, credit policies and the **MEMBERS ONLY**SIGN UP NOW***. Single-Family Seller/Servicer Guide (the “Guide”) matters, including lender eligibility; mortgage purchases; mortgage servicing; mortgage loan documents and forms; representations, warranties, covenants and remedies relating to loans purchased by and serviced for **MEMBERS ONLY**SIGN UP NOW***.; and proprietary ini...
Counsel / Senior Counsel
The candidate will primarily support debt securities issuances, liquidity management initiatives and derivative and asset/liability management transactions. Other responsibilities include providing legal advice on legal and regulatory developments, counterparty credit risk and operational issues and strategic initiatives. Assist in the drafting and negotiation of disclosure documents for debt securities offerings, repurchase agreements and fixed in...
The candidate will primarily provide legal advice to internal clients on a wide range of issues related to Company as a business entity, legislative, regulatory and compliance matters affecting the legal and business environment in which Company and other financial institutions operate. Providing Legal Analysis and Advice: Interpreting statutory powers and advising about requirements under applicable laws and regulations. Preparing and advising on regulatory...
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Duties: Provide legal advice and counsel with respect to securities law issues, corporate governance, board materials, board committee filings, securities filings requirements and compliance, disclosure obligations and committee materials, shareholder services, and related areas of responsibility. Review and advise on the preparation of all public company disclosure matters, including SEC and NASDAQ filings (including Forms 10-K, 10-Q, 8-K, and annual p...
The candidate will perform overall Division, Case, and Project Management and coordinate all phases and aspects of work to include full spectrum of litigation support life cycle from discovery, pre-trial, trial, post-trial, and appeals across both Products and Services, as defined by the MEGA 4 (and subsequent or similar contracts). Perform as the central point of contact for the Division with the government and **MEMBERS ONLY**SIGN UP NOW***. Functional support groups, primarily wi...
Associate General Counsel
The candidate will assist firm’s General Counsel and Deputy General Counsel in negotiating, documenting, and closing various investment-related transactions, including investment management agreements, private equity and hedge fund investments, as well as documentation relating to internal trading, such as prime brokerage, futures and swap agreements. Support Firm’s compliance programs and initiatives, including managing and monitoring Firm’...
Senior Corporate Counsel
The candidate will work as a corporate generalist with the ability to provide legal services to firm’s business units. Given the variety and complexity of issues presented by a growing entrepreneurial REIT. Coordinate, manage, and advise on dispute resolution issues and handle litigation management, particularly with respect to hotel operations, construction related matters, and general commercial disputes. Review, draft and advise on commercial ...
Duties: Will be to support 40 Act fund activities and will be largely responsible for owning the registration process, and other legal processes as assigned. Drafting, reviewing and updating of regulatory materials, including registration statements and exemptive applications; Handle aspects of registration statement process, including process enhancement and coordinating the printing of prospectuses and supplements; Draft initial registration statements for new fu...
Senior Counsel, Technology, IP and Commercial Transactions
The candidate will be responsible for: Provide strategic structuring advice and guidance on new digital and customer-centric initiatives including: Shape the development of contractual frameworks and deliverables (often involving novel future products and applications) and ensure future scalability across the AES platform; Structure royalty, complex services, licensing, or other revenue generating arrangements to m... read more
The candidate should have 4+ years of experience with a large national or regional law firm, trade association, corporation, or government agency. This person will report to the Director for Wireless Regulatory Affairs. Must be eager to learn and demonstrate energy and a need for achievement. Should have experience in the Federal or state wireless regulatory field, with experience in topics such as spectrum policy, FCC wireless licensing, auctions, wirele... read more
Regulatory Compliance Attorney
The candidate With communications regulatory experience, ensure compliance with new and existing telecommunications and VoIP regulations. Analyze important policy issues that could shape the regulatory compliance of Company products and draft briefing papers to help our product teams understand the consequences of such compliance. As a newly authorized VoIP provider, identify and execute on all new and existing regulatory and policy initiativ... read more