Senior VP, Regulatory Counsel - Financial Services
LPL Financial LLC
LPL Financial LLC seeks a Senior Vice President, Associate General Counsel to lead its corporate legal advice team. This role involves providing strategic legal guidance primarily for LPL’s broker-dealer and investment advisory businesses. The ideal candidate will have over 10 years of experience in financial services law, understanding complex regulatory frameworks, and leading legal teams. This position offers a competitive pay range, benefits, and the opportunity to influence regulatory strategies. #J-18808-Ljbffr LPL Financial LLC
- ...finance and law, providing counsel and advice that... ...a strong interest in financial law coupled with critical... ...communicate issues to senior members of the legal department... ...help mitigate legal, regulatory and reputational risks... ...Healthcare & Medical Services We believe who you are...SeniorRegulatoryFull timeWork at office
- ...Tax, Planning & Advisory Senior Counsel, Vice President, New York City... ...responsible for tax compliance, financial reporting of taxes, tax... ...ongoing assessment of the tax regulatory environment and the firm’s adherence... ...Healthcare & Medical Services We believe who you are...SeniorRegulatoryFull timeWork at officeWorldwide
$200k - $255k
A leading financial services firm in New York is seeking a Financial Regulatory Counsel. This role is crucial for ensuring compliance with U.S. and international securities regulations. The ideal candidate will have over 7 years of experience in a top-tier law firm or corporate...SeniorRegulatory$211.28k - $316.92k
...information, please review .The Senior Lead Counsel 1 is a position responsible... ...* Provides advisory services in respect of business decisions... ..., laws, rules, and regulatory guidelines, escalating where... ...of issues that could cause financial, reputational, or legal consequences...SeniorRegulatoryFull time- Senior Vice President, Mid-Corp Relationship Manager, Consumer & Retail, Citi Commercial... ...to deliver a comprehensive suite of financial services and products to a diverse clientele -... ...processes Ensures compliance with regulatory requirements and Citi's policies / guidelines...SeniorRegulatoryFull timeLocal area
- ...Title: Director, Senior Legal Counsel, Structured Finance Group Requisition... ...providing legal advice, services and counsel on issues affecting... ...development, structuring, regulatory analysis, of new products... ...with a law firm or financial institution. ~ Strong interpersonal...SeniorRegulatoryLocal areaFlexible hours
- Goldman Sachs Bank AG is seeking a legal professional for its Digital Assets Legal group, which provides transactional and regulatory support in the evolving field of digital finance. The ideal candidate should have knowledge of blockchain technology, strong analytical...Regulatory
- ## Senior Equity Analyst- VP/DirectorApplylocations: NYC 250 Park (AMO)time type... ...investment research, financial modeling and analysis(15years... ...as well as local laws and regulatory obligations. Roles in some... ...offer comprehensive financial services to clients in 35 countries...SeniorRegulatoryWork at officeLocal areaRemote workWorldwide
$230k - $280k
CIB, Securitization Senior Legal Counsel - Vice PresidentZum Hauptinhalt springen**USE OF COOKIES... ...allow for its correct operation and the services offered. For further information,... ...a global leader and innovator in the financial services industry and is evolving from...SeniorHourly payContract workWork experience placementShift work- Robinhood is seeking an experienced Assistant General Counsel to join our Regulatory legal team in New York, NY. The role involves navigating complex... ...skills. This position is instrumental in redesigning financial products within a collaborative, high-performance team....SeniorRegulatory
- HSBC is seeking a Senior Legal Counsel focused on Infrastructure & Project Finance to provide comprehensive legal support for complex financing... ...collaboration across various teams, and navigating complex regulatory frameworks. The position offers competitive pay,...SeniorRegulatory
$310k
...FUND FINANCE/SUBSCRIPTION LINES - SENIOR ASSOCIATE/COUNSEL ATTORNEY Global Finance Practice Group... ...highly regarded practice that advises financial institutions, alternative lenders, and... ...across finance, fund formation, and regulatory teams on complex, multi-faceted transactions...SeniorRegulatoryRelocation package$110k - $190k
Asset Movement Platforms Senior Product Lead - VP 1 New York Plaza, NY Position Description: Morgan Stanley is a global financial services leader with three core businesses - Institutional... ...Legal, Risk, Compliance, Fraud and Regulatory Relations on various projects...SeniorRegulatoryFull timeTemporary workHome office$200k - $280k
...only unified payments and financial platform for global businesses... .... This role is focused on regulatory matters in the Americas as... ...to payments and financial services, including licensing,... ...control functions. As a Senior Regulatory Counsel, you will serve as a senior...SeniorRegulatoryPrivate practiceLocal areaWorldwide- ...Senior Legal Counsel, Private Funds About the Company Well-regarded private credit asset management firm Industry Financial Services Type Privately Held About the Role The Company... ...of the evolving regulatory landscape in the private fund...SeniorRegulatory
$265k - $305k
...Exciting opportunity to join Legal team of financial services institution Role will focus on... ...report directly to the Deputy General Counsel and will handle the following: Participation... ...to loan trading business Track regulatory developments/litigation/new legal...SeniorRegulatoryPermanent employment$102k - $203k
...Senior Vice President, Auditor, Credit Risk At BNY, our culture allows us to run... ...growth and success. As a leading global financial services company at the heart of the global... ...Serve as SME for credit-risk audits and regulatory issue validations; perform risk assessment...SeniorRegulatoryTemporary workWork at officeWorldwideFlexible hours$176.72k - $265.08k
## Investor Services Technology - Data Solutions Senior Vice PresidentApplyremote type: Hybridlocations: Jersey... ...transformation programs in global financial services. Deep Custody and/or Fund... ...lineage across IS platforms — ensuring regulatory auditability, data quality SLAs,...SeniorRegulatoryFull timeContract work- ...About Uphold Uphold is a financial technology company that believes on-chain services are the future of finance. It provides... ...[ The opportunity The Senior Counsel will be responsible for... ...risk management strategies and regulatory compliance alongside Uphold’s...SeniorRegulatoryFull timeContract workFlexible hours
$250k - $300k
...opportunity is with a large organization in the financial services industry. Job Description Provide legal counsel on AI-related products and technologies,... ...with cross-functional teams to address legal and regulatory risks associated with AI initiatives. Draft...SeniorRegulatoryPermanent employmentContract workLocal area- A crypto-focused company is seeking a (Senior) Vice President, Investor Relations to lead... ..., deep knowledge of blockchain and US financial markets, and a proven track record in senior... ...effectively while ensuring compliance with regulatory standards. #J-18808-Ljbffr AtomeSeniorRegulatory
$175.84k - $263.76k
...The Lead Counsel, Wealth Capital Markets is a senior level position responsible for providing legal guidance... ...Business and keep up to date with regulatory developments affecting the... ...industry experience, preferably in financial services ~ Banking or financial industry...RegulatoryFull time$194.4k - $260k
Senior Vice President, Business Operational Risk Management New... .... We are a global financial services group operating in 31 markets... ...service provider reviews and regulatory or internal compliance activities... ...health network including counseling and coaching services....SeniorRegulatoryPermanent employmentFull timeTemporary workWork at officeWork from homeFlexible hours- ...of relevant legal experience post JD. Key responsibilities include advising on legal strategy, assisting client services, and communicating with regulatory bodies. This position offers a competitive salary and is ideal for candidates with previous in-house experience at...Regulatory
$10 per hour
...relationships and providing financial advice to your clients, then... ...Business Relationship Manager Senior (BRM) Deepening banker in Business... ...full suite of products and services; follow up with clients after... ...policies and adhering to regulatory requirements Required qualifications...SeniorRegulatoryWork experience placementWork at office- Vice President, Fund Services Ops Collective Investment Services (CIS) Operations Senior Manager Location: Kuala Lumpur, Kuala Lumpur... ..., we provide a broad range of financial services and products to... ...internal policies and external regulatory requirements. Client & Stakeholder...SeniorRegulatory
$160k - $200k
Title: VP / Senior Credit Manager, Commercial Banking Office Status: Onsite - New York, NY... ...credit approvals, portfolio oversight, regulatory interaction, and team management. The position... ...with internal and external counsel Manage and report on OREO assets and special...SeniorRegulatoryWork at office$225k - $275k
The Blackstone Group L.P. is seeking a Senior Vice President Attorney for the Private Wealth Public Funds Legal Group in San Francisco. This role involves overseeing legal matters for BREIT, including preparing public offering materials, managing corporate governance,...SeniorFull time$163.6k - $245.4k
...institutions with a broad range of financial products and services, including consumer banking and credit... ...market demands. Collaborate with senior business leadership to refine market... ...management, while navigating complex regulatory landscapes and fostering seamless integration...SeniorRegulatoryFull timeWork at officeRemote work$230k - $260k
The Athletic is seeking an experienced Vice President to support the General Counsel. This hybrid role based in New York City involves assessing business and legal matters, managing a team, and providing legal support on technology and intellectual property issues. Candidates...Senior
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