Bank Compliance Attorney Jobs in Arizona

GDS TAX Rotators The candidate will spend a large portion of your time directly engaged in complex compliance projects for our clients. This will be balanced with research, planning, and meetings ..

Corporate Counsel The candidate will provide business-focused advice to product development and engineering teams on how to apply legal and regulatory requirements to the development of our all-in-one HR SaaS and ..

Wealth Management Compliance Manager The candidate, under the ... direction of the Director of Compliance and Audit, develops and implements ... Audit, develops and implements the Bank's compliance program related..

Private Wealth Advisor DUTIES: Develops, maintains, and expands client relationships. Helps manage and monitor client portfolios; performs investment analysis and financial planning as necessary to ensure client assets are managed consistent ..

Manager Compliance, Personal Securities Trading Duties: Lead, ... operations which consist of reviewing compliance reports, managing the preclearance approval ... Partner with local business unit Compliance Officers to execute or..

5/25/2021 The Finance Paralegal works at the direction of the Senior Corporate Paralegal to assist attorneys in the Legal Department and other Bank personnel on a wide range of legal matters, ..

Job OverviewA law firm seeks a Senior Consumer Finance Associate for their Phoenix, AZ office. This full-time position offers the opportunity to work with a diverse range of clients across various ..

Vice President, Corporate Counsel, Retail Advice and Solutions The candidate will be providing thought leadership and support as a key member of the distribution legal team. Will address full range of ..

Compliance Investigator Duties: Applying analytic techniques to complex information sets in order to make logical and effectively supported recommendations on cases, including for reporting to Financial Crimes enforcement Network (FinCEN) and/or ..

Senior Corporate Counsel Duties: Negotiate, draft and review firm contracts including: engagement letters and professional services agreements, master services agreements and statements of work, government contracts, request for proposals, data privacy ..

Corporate Attorney The candidate should be a Corp/ Securities/ M&A Attorney. Should have 15+ years’ experience and strong research and writing skills. Significant experience with federal and state securities compliance, including, ..

Wealth Transition Services Manager / Senior Manager The candidate will interpret and review various legal documents in relation to estate and business succession planning. Will undertake technical research on estate planning ..

Wealth Transition Services Manager / Senior Manager The candidate will interpret and review various legal documents in relation to estate and business succession planning. Will undertake technical research on estate planning ..

Branch Examiner The candidate will review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures. Will communicate with branch managers ..

Regulatory Compliance Attorney Duties: Understand the applicable vehicle ... knowledge of Nikola’s Regulatory and Compliance requirements and relevant legal issues. ... issues of noncompliance. Monitor governmental compliance concerns/inquiries with Nikola..

Tax Staff - 2021 The candidate will prepare individual, trust, estate, partnership and corporate tax returns. May assist clients by providing a full spectrum of tax services including planning, research, and ..

... procedures and practices align with Bank requirements and provides challenges for ... improvements to the BU Regulatory Compliance and Risk Programs. Assists in ... operational risk management and regulatory..

... risk management (QRM) and legal compliance evaluation and monitoring, as well ... clients. Will lead risk and compliance review, analysis and evaluation of ... Recognize, understand, and articulate key..

Branch Examiner The candidate will review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures. Will communicate with branch managers ..

Americas Financial Crimes Policy Governance, Vice President The candidate will play a key role in implementing and administering the Bank’s financial crimes governance framework in the Americas Region, including documentation (e.g. ..

Assistant General Counsel The candidate will work under the direction of our General Counsel. Ensures Quantum’s compliance with relevant laws and regulations, Work closely with the business team to develop policies, ..

Senior Counsel, Regulatory Attorney Responsibilities: Advise on securities laws, most particularly relating to broker-dealers; Familiarity with Reg BI and FINRA Rules and their applications to broker-dealers; Draft and review responses to ..

5/25/2021 The Finance Paralegal works at the direction of the Senior Corporate Paralegal to assist attorneys in the Legal Department and other Bank personnel on a wide range of legal matters, ..