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Director, Corporate Counsel
Duties: Provide legal and regulatory advice and counsel to the broker-dealer supporting investment management, retirement and group insurance businesses. Provide legal and regulatory advice and counsel to the broker-dealers supporting life and annuity businesses. Represent and counsel insurers and broker-dealers with respect to federal and state regulatory matters as well as FINRA. Work closely with Business Unit Law Departments, as well as Com... read more
Lobbying / Political Compliance Senior Associate
The candidate will use subject matter knowledge to act as the initial or secondary point of contact for client engagement and other firm internal teams. Will provide research and analysis across one or more RM functions or processes. Interpret relevant regulatory requirements, policies and processes, determine required actions, and make recommendations based on the law, firm guidance and own experience. Analyze issues, and d... read more
Director – Regulatory Consulting Manager
Responsibilities: Oversee project structure, approach and process. Manage overall quality and timeliness of project delivery. Lead and manage presentations for management. Bring regulatory and financial services content expertise and drive resolution of complex issues. Build long-term relationships with clients. Lead proposals to acquire new projects. Manage and motivate resources at all levels. Stay abreast of relevant regulatory...
Associate Counsel, Regulatory
Duties: Provide legal advice and guidance on compliance with regulations related to the manufacturing, development, testing, packaging, labeling, and sale of OTC drugs and cosmetics, as well as support on issues relating to ELC product development programs and pipelines. Partner with ELC business units in the development, implementation, and continued education of the company’s QA and Regulatory compliance policies and procedures. Coordinate...
AML Policy/Risk Assessment Manager
Duties: Responsible for assisting in the execution of the AML and sanctions risk assessment, as well as for drafting and overseeing changes to AML policies, procedures and protocols. Will be responsible for overseeing the production of metrics and leading special projects. Operates as a manager in the AML team and is independent of the business lines. Perform AML and sanctions risk assessments according to departmental needs. Work with Ri...
Compliance Manager - US Markets (FX & Securities Lending)
Duties: Responsible for compliance aspects of the US Markets products (FX and Securities Lending) within the Compliance Division and serves as a trusted advisor to Markets business lines. Ensure that business is being conducted in conformity with all applicable laws, regulations and internal procedures that relate to FX and Securities Lending including keeping abreast of new products, technologies, and their appli...
Assistant Counsel, Regulatory
The candidate will provide legal advice and guidance on compliance with regulations related to the manufacturing, development, testing, packaging, labeling, and sale of OTC drugs and cosmetics, as well as support on issues relating to ELC product development programs and pipelines. Will partner with ELC business units in the development, implementation and continued education of the company’s QA and Regulatory compliance policies and procedu...
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Lead Compliance Officer
Duties: Responsible for designing, coordinating and leading compliance initiatives and across the Operating Companies. Will have primary responsibility for: Managing the company's Compliance testing and monitoring program; Designing global training programs; Overseeing the company’s Compliance policy framework; and Supporting initiatives that foster a culture of integrity. Will handle sensitive information and may contribute to decisions regarding...
Managing Editor, Public Sector
The candidate will directly manage the editorial team of the Public Sector service, including: Interviewing and on boarding, as necessary. Will oversee and monitor individual content production and maintenance targets and managing workflow to ensure content production targets and maintenance targets are met in accordance with appropriate quality standards. Oversee appropriate training and development related to their work and responsibilities...
Director - Policy and Business Development
The candidate will work to shape policy outcomes in pursuit of firm’s mission, which is to accelerate the adoption of renewable energy. Will work hand-in-hand with project development team and senior leadership to develop and hone. Represent firm in trade associations and other coalitions of solar and electricity storage stakeholders. Work externally to shape and impact key regulatory proceedings at the state regulatory commissi...
Senior Legal Editor, Securities
The candidate will conceptualize, draft and edit original legal know-how materials, including practice notes, annotated standard-form documents and checklists for online and print publication. Will maintain current awareness of and analyze law and market practice in this area. Focus and shape the future of firm’s corporate governance content. Collaborate with sales and marketing teams to plan and lead product demonstrations, webinars and i...
Associate Counsel, Regulatory
The candidate will provide legal advice and guidance on compliance with regulations related to the manufacturing, development, testing, packaging, labeling, and sale of OTC drugs and cosmetics, as well as support on issues relating to product development programs and pipelines. Will partner with business units in the development, implementation, and continued education of the company’s QA and Regulatory compliance policies and procedures. Co...