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
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
Works efficiently and collaboratively with in-house business and technology personnel, primarily through the negotiation of transactions and contracts, but also when providing counsel on complex legal concepts relating to technology and intellectual property. Works independently and under the general guidance of senior management to perform a variety of specific duties, including applying advanced analytical skills when providing legal services to FINRA companies, off... read more
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...
Securities/Governance, Associate General Counsel
Duties: Under the direction of DMS’s General Counsel, will oversee the company’s data privacy, TCPA, CCPA, and related department compliance activities. Collaborate with senior leadership as well as all departments where compliance risks exist in partnership with SVP of HR and CFO as it relates to People, Finance or Business related compliance areas. Ensure the company is properly addressing its compliance issues and ris...
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Duties: Conventional and/or Targeted Affordable Housing loan production, underwriting and related activities; Securitization due diligence; Asset management matters, including transactional matters relating to portfolio and securitized loans, surveillance, cash management and operations. Serve as legal counsel, independently and/or assisting or collaborating with other attorneys, for purchase and/or servicing of multifamily loans. May include negotiating con...
The candidate should have review, edit, and draft DMS and third-party agreements on both a client and vendor basis. Coordinate with business units to obtain information relating to DMS contracts and ensure compliance with applicable laws and obligations to third parties. Proactively communicate with business units in identifying errors or providing constructive feedback on compliance matters. Ensure consistency of contracts across the organization. Proactive...
The candidate should have 10+ years of experience in government contracts and related business law. Must have significant expertise in legal issues faced by government contractors. Should have experience in bid protests, claims, small business set-aside issues, subcontract and teaming arrangements, and related regulatory matters, as well as strong research and writing skills. Familiarity with M&A and other transactions related to the government business is a plus....
Principal Counsel, Market Regulation
Duties: Resolve all types of Enforcement matters based on objective and complete assessment of the facts and law, including independently resolving non-complex matters. Determine and execute an effective risk-based legal strategy to complete and assess the record fairly; Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case; Identify potential risks, defenses,... read more
Deputy National Voter Protection Director
The Candidate will be responsible to help develop and coordinate the national voter protection strategy. Triage and troubleshoot voting issues from the states. Assist in developing metrics and goals for the national and state voter protection programs. Identify need and develop substantive trainings for state voter protection teams. Serve as a liaison between the organizing and voter protection teams. Help scale state voter prote... read more
SME III/Regulatory Policy Writer
The Candidate will be responsible to serves as a resource for the administration of the DCP through interpretation of regulations and other policy-related documents. Works with senior staff to provide research, logical and reasoned writing and analysis, and interpretations for Diversion related policies that may include Federal regulations, internal processes, and policy-related documents. Work directly with DC subject-matter-experts (SMEs)... read more