- US Bank (Charlotte, NC)
- …as in-house counsel supporting capital markets products + Experience with securities laws and broker-dealer regulatory matters + Experience with corporate ... business lines. The products offered by the supported business lines include corporate and municipal bond sales, trading, and origination, asset-backed securities… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Senior Counsel in the Corporate Investment Banking (CIB) Regulatory Legal and Governance Section of the Legal ... on regulatory matters impacting CFTC regulated swaps as well as SEC regulated securities -based swaps + Provide regulatory advice on CFTC/SEC regulated swaps to cover… more
- Lincoln Financial (Charlotte, NC)
- …74772 **The Role at a Glance** The Role at a Glance The AVP, Senior Counsel - Life & Annuities, provides legal support to the Lincoln Financial Group business ... "thought leader" who will be sought after for advice, counsel , and judgment Execute: + Draft and negotiate: -...in good standing is required Experience + Experience with Securities Act of 1933 and Investment Company Act of… more
- Wells Fargo (Charlotte, NC)
- The Structured Products Group within Wells Fargo Corporate Investment Bank is looking for a Vice President to join in New York or Charlotte. The candidate will be a ... member of the Corporate Debt Finance (CDF) team with primary focus on...issuers and asset manager clients, investors, rating agencies, legal counsel , and internally with syndicate and sales, middle office… more
- Lincoln Financial (Greensboro, NC)
- …Must have: * 3-5+ years of experience counseling clients with respect to federal securities laws * Experience with corporate law and/or Federal securities ... Role at a Glance** In the Attorney, Funds Mgmt Counsel position, you will provide legal counsel ...trading services agreements and other agreements related to portfolio securities and trading matters. * Collaborating with peers and… more
- Equitable (Charlotte, NC)
- …The Equitable Law Department's Mission is to Serve as Equitable's trusted counsel , empowering Equitable to pursue its noble purpose by upholding the highest ... marketing collateral created by our internal business lines and corporate marketing teams. All reviews are based on FINRA,...All reviews are based on FINRA, SEC, and state securities and insurance regulations, as well as company standards… more
- Truist (Charlotte, NC)
- …Maintain a thorough understanding of Basel III rules and interpretations. Provide expert counsel and advice to the CFO, Corporate Controller, and other senior ... distributed to the Truist Board of Directors and Executive Leadership, Securities and Exchange Commission (SEC) and Federal Deposit Insurance Corporation (FDIC)… more
- Truist (Charlotte, NC)
- …to potential borrowers, as well as analytical requirements from Bond Counsel prior to closing (8038 tax document requirements). Produce amortization schedules ... Coordinate with Manager to ensure timely and accurate reporting of necessary corporate governance and financial information. Take ownership of the Sales Tracking… more
- SMBC (Charlotte, NC)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... Group offers a range of commercial and investment banking services to its corporate , institutional, and municipal clients. It connects a diverse client base to local… more
- SMBC (Charlotte, NC)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... Group offers a range of commercial and investment banking services to its corporate , institutional, and municipal clients. It connects a diverse client base to local… more