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Director Risk And Controls The candidate will lead cross functional teams, potentially across multiple geographic locations. Mitigates risk exposure to company by identifying activity that poses potential for significant reputations and/or ..
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Senior Counsel, Regulatory Attorney The candidate will advise ... Draft and review responses to regulatory examinations; Legal review of disclosure ... eligible to register as in-house counsel in another jurisdiction...
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 Legal Counsel Duties: Provide proactive legal advice ... interests and interface directly with regulatory agencies, enforcement authorities, and external ... agencies, enforcement authorities, and external counsel, as appropriate. Assist..