- Coinbase (Albany, NY)
- …privacy laws specific to financial institutions (eg GLBA) and the global financial regulatory frameworks (eg AML/KYC compliance , PSD2). CIPP or similar ... onchain platform - and with it, the future global financial system. To achieve our mission, we're seeking a...with our global Data Privacy Operations, Product and Commercial Counsel , Security and other business teams to provide critical… more
- BlackRock (New York, NY)
- …legal, compliance , and operational considerations. + Coordinate with external counsel on regulatory matters. + Collaborate with colleagues across BlackRock's ... closed-end funds. Key Responsibilities + Draft, review, and manage regulatory filings, offering documents, and board materials. + Assist...Legal & Compliance department. Qualifications + Juris Doctor (JD) from a… more
- JPMorgan Chase (New York, NY)
- …legal or compliance experience at a law firm, regulator, and/or financial institution advising on broker-dealer regulatory issues, cash equity trading issues ... as well as regulators, including the US Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and other Self- regulatory … more
- Pixalate, Inc. (New York, NY)
- Corporate Counsel Employment Type: Full-Time Minimum Experience: 5-7 years of experience in a similar role Location: Hybrid in New York City Metropolitan Area About ... in a cost-effective and legally-compliant manner. Experience analysing legislative and regulatory obligations for applicability, under US and international laws and… more
- TD Bank (New York, NY)
- …Experience in trade or communications surveillance a plus. + Firm understanding of financial product rules and regulatory landscape, as well as a strong ... and penchant for learning new business areas and developing understanding of financial institution's products and regulatory requirements and obligations. +… more
- TD Bank (New York, NY)
- …Partner closely with Employee Relations and HR Advice CoE, HR 1B, Legal, Compliance , Risk, and internal and external counsel . Maintain productive relationships ... and support + Shares expert knowledge, provide advice and counsel to business management and Human Resources teams +...and controls, for all department processes + Ensures ongoing compliance with internal / external audit and regulatory… more
- American Express (New York, NY)
- …in Global Risk and Compliance is the center of expertise for US regulatory exams and remediation of regulatory findings for American Express. RELM supports ... may impact the scope of the examination. + US Regulatory Relations team within the General Counsel 's...means caring for you and your loved ones' physical, financial , and mental health, as well as providing the… more
- New York State Civil Service (New York, NY)
- …practices.* Reviewing financial institution programs, policies and procedures for compliance with legal and regulatory requirements.* Evaluating financial ... No Agency Financial Services, Department of Title Financial Services Specialist 1 ( Compliance ), SG-18 Occupational...and penalty payments, coordinating with the Office of General Counsel and Office of Financial Management;* Enters… more
- HSBC (New York, NY)
- **Description** **Litigation, Regulatory Enforcement and Investigations (LREI), HSBC Technology & Services (USA) Inc., New York, NY:** Provide strategic support to ... our Global General Counsel and LREI team to reduce costs and improve...insights for decision-making and operational improvements. Responsible for annual financial planning of staff costs and external legal spend… more
- University of Rochester (Rochester, NY)
- …but not limited to Title IX, Clery Act, and FERPA. Strong understanding of regulatory compliance in academic, research and clinical settings and in federal ... working relationship with the Senior Vice President and General Counsel , the Chief Compliance Officer of the...financial management. + Develop and execute an annual compliance work plan that addresses the most significant +… more