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Collaborating closely with site personnel, Corporate Legal Counsel, external Legal Counsel, the Corporate Export Compliance Department, and local Senior Leadership, the Director serves as a principal regulatory advisor.
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We are working with a global private markets investment manager that has an immediate need for a regulatory and compliance attorney to join as a Legal Counsel in Chicago or New York. This person will be responsible for the client’s legal/regulatory activities in the UK and EU markets including fund formation and private offerings, regulatory filings related to such fundraising efforts, and requirements associated with managing UK and EU local offices.
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Support the Legal Department in managing relationships with, and inquiries/investigations/exams from regulatory bodies including FINRA and SEC. Extensive & deep knowledge of FINRA and SEC regulations, including practical applications of regulatory rules in broker-dealer operations.
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Paralegal or legal experience in licensing and/or regulatory compliance preferred. The Convenience Store Licensing Specialist’s primary function is to support the Legal Department in all licensing matters, including managing license renewals, new applications, modifications and changes from business operations or structure that require permits, licenses, or legal coordination.
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Work with the Senior Vice President & General Counsel and other members of the Legal Department to provide the broad range of legal services required by Proximos growing portfolio of premium distilled spirits brands.
$130,000 - $190,000 a yearFull-timeExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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The mission of the Legal Department is to protect Societe Generale from legal, regulatory, reputational, and other risks, while at the same time assisting the business units in the achievement of their legitimate business interests by providing effective and quality legal services and advice, drafting and reviewing legal documentation and ensuring that business is conducted in compliance with relevant laws and regulations.
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The Chief Operating Officer collaborates closely with the Board to maintain compliance with regulatory and accreditation standards, financial oversight and management, as well as assisting in recruiting new practitioners.
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The successful candidate will draft and review federal, state, and city legislation and regulations; draft agency compliance procedures; conduct legal research; and prepare legal memoranda.
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Actively monitor regulatory changes and work closely with the Legal Department to draft comments on CRA, HMDA, and other related reforms, public hearings, testimonies, and public comment letters.
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7-10 years of experience with Banking or Financial Services GRC, Regulatory Compliance, Governance, Legal, or related department, preferably with a foreign banking institution (FBO/IHC/BHC) doing business in the U.S.
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Previous financial regulation advisory role or experience in a compliance/legal department, risk and control function or in a consultancy environment. in collaboration with Risk and Compliance second line and North America Product Squad, drive the quarterly reporting on North America regulatory risks.
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As the Contract Specialist , t he fundamental mission of the Department of Research is to facilitate and promote the research endeavors of investigators at HackensackUMC. The Department provides oversight and management of sponsored projects, and ensures compliance with institutional and sponsor policies and expectations.
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Category: Mid-level, Compliance, Legal & Regulatory. You will support the maintenance of corporate entity compliance as well as collate company information for Know Your Customer/Anti-Money Laundering requests, and other internal or external regulatory and/or audit requests.
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The primary entity that is subject to these rules is Citigroup Global Markets Inc CGMI. The Regulatory Reporting Department works closely with other departments, most notably; Treasury, Accounting Policy, Operations, Controllers, Legal, Compliance and Trading on issues such as new products, new regulatory requirements, capital management, books and records and liquidity issues.
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The responsibilities include, all day-to-day legal support in relation to commercial and consumer lending along with ad hoc matters involving corporate policy and regulatory and compliance.
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regulatory compliance legal department jobs in Bronx, NY
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