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Training and legal advice regarding fiduciary duties, pension investment issues and ERISA regulatory compliance and/or oversee outside counsel and advisor support regarding such matters.
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Will oversee ownership of the annual review of the RIA, own all regulatory findings, compliance training, etc. RIA and/or broker-dealer compliance experience. JD preferred, open to granting Associate General Counsel title as well.
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Experience using My Compliance Office system. Previous exposure to RIAs, REIT, mortgages, and similar investment strategies preferred. Client: Leading Investment Management Firm (IPO) Location: New York City or Dallas - Hybrid.
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Primary focus will be on state regulatory matters before the Public Utilities Commission of Nevada (PUCN). Represents the company in judicial and regulatory forums. Provides counsel and legal advice on the interpretation of statutes, regulations, legal opinions, and corporate policies.
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Specific research regulatory activities cover a wide range of topics such as Conflicts of Interest in research, Export Control, protection of Human Subjects in Research, Animal Care and Use programs, Occupational and Environmental Health and Safety, Research Misconduct, Stem Cell Research, Research Data, and Privacy, International Research Compliance, etc.
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Coordinate with other attorneys and compliance partners in the McKesson General Counsel Organization on privacy, litigation, labor and employment, IP, regulatory compliance, and other matters arising at SCS; and.
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Provide legal counsel and support to internal stakeholders on gift card compliance issues, including regulatory requirements, licensing, registration, and reporting obligations. Familiarity with regulatory guidance and industry best practices for gift card compliance, such as the Consumer Financial Protection Bureau (CFPB) regulations and Network Rules.
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Firm Type: Law Firm, Experience: 5 Years, A law firm in Tallahassee is seeking a Consumer Finance Special Counsel. The candidate will primarily engage in regulatory counseling and drafting pertaining to federal and state consumer lending laws.
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The Sanctions Counsel supports global operations on diverse regulatory issues as a member of Halliburton’s Global Ethics & Compliance group. Reporting to the vice-president and Chief Ethics & Compliance Officer, the Sanctions Counsel is responsible for independently providing international compliance advice, guidance, and training to Halliburton’s business operations.
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Work closely with the operations team and provide counsel and guidance regarding policies, procedures and state and federal regulatory compliance requirements. Maintain personnel files and training materials, ensuring documents and manuals are kept current, accurate, confidential and in compliance with company policies and government regulations.
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Support the Vice President & Corporate Counsel – Data Security and Privacy Regulatory Compliance Counsel by driving program change and strengthening controls, as required, across the Privacy Strategic Initiatives portfolio.
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Provide legal counsel to healthcare providers on various issues, including regulatory compliance, fraud and abuse, licensing, reimbursement, and transactional matters. The ideal candidate will have 8 years of experience and regulatory expertise in providing legal counsel to healthcare providers.
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Monitor and research legal and regulatory changes relevant to the organization's compliance obligations. Work will be conducted under the supervision of the Assistant General Counsel.
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Role summary/purpose of jobThe In-House Employment Counsel (US) plays a key role as a member of the firm’s global Legal Department, which manages the firm’s risk exposure and provides advice to the firm on a range of legal and compliance issues.
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Mentor and manage Regulatory Compliance Administrator(s) specializing in reliance activities. The Assistant Director manages a team of professional staff responsible for regulatory compliance program activities.
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