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Corporate/Attorney/In House/Columbus, Ohio

Columbus OH Senior Consultant, Corporate Compliance The candidate will oversee and maintain compliance policies and written supervisory procedures tailored to the NF business models that are designed to achieve compliance with and prevent violations of applicable laws and regulations. Maintain a current working knowledge of the NF business models and strategies. Understand at a detailed level the sales and product strategies and tactics and the related distribution and operations compliance programs strategic priorities and elements. Maintain positive, productive and proactive business relationships with associates who support .the broker dealers, investment advisors, life insurance companies, and retirement plans business. Be a subject matter expert in federal and state regulations and Model Acts, the regulatory environment, and emerging regulations that could impact the NFS compliance programs, and participate in industry calls relative to emerging and recently enacted regulations. Communicate with compliance associates and clients the status of emerging, proposed and enacted regulations and the relative impact to clients. Assist compliance associates and clients with reviewing and understanding complicated new/proposed laws/regulations, identify business impacts, and manage regulatory implementation projects. Translates securities, investment advisor, insurance and DOL laws and regulations into compliance policies and written supervisory procedures tailored to the NF business models and risk profiles. Assists with the development and delivery of compliance training and communications on the compliance policies and procedures. Assists with, and consults on the development and implementation of the NFS Compliance Programs to carry out, enforce, monitor and test the effectiveness of the compliance policies. Assist compliance associates with escalating and managing complex compliance matters and managing remediation plans. Assist with, as needed, managing regulatory exams and inquiries. Consult with compliance associates and business clients on regulatory exam and inquiry issues, and assist clients with managing action plans that arise from regulatory exams and internal audits. Assists in the development, coaching and mentoring of compliance associates. Leads and participates in continuous improvement initiatives to streamline processes that increase compliance effectiveness and the customer experience. Participate on external industry committees and with corporate s Government Relations on issues that impact the broker dealers, investment advisors, life insurance companies, and retirement plans activities. Develop and deliver training, compliance communications and other types of presentations with respect to new regulations and compliance policies. Communicate and consult with, and make presentations to senior business leaders and associates regarding regulations, compliance policies and written supervisory procedures. Solves unique and complex problems that have a broad impact on compliance and the business. Provides multi-level and multi-issue consulting and advisory services at the most complex levels to a diverse mix of internal and external customers, such as administration, sales, marketing, actuarial, systems, claims, attorneys, accountants, financial advisors, and government and regulatory agencies. Evaluates the most complex business processes and identifies compliance impacts and related requirements; and, assists in the development and design of strategic and tactical plans. Anticipates internal and/or external business challenges and/or regulatory issues; recommends process, product or service improvements. Ensures compliance programs comply with all organizational as well as state and federal regulations. Designs regulatory compliance evaluation and monitoring/testing procedures and tools. Partners with General Counsel regarding compliance issues and strategies. Leads the analysis and monitoring of industry trends in compliance. Identifies impact to the business and designs programs and policies that support competitive positioning. Delivers consultation regarding trends. Leads the development of business unit policy guidelines. Designs, consults, and coordinates resources with clients and team members on policies and procedures related to compliance issues. Directs the development and implementation of policies, processes, programs and consulting services for senior management to optimally utilize human resources. Administers and consults with senior management to plan strategic initiatives to enhance the organization's development, performance, and goal achievement. Maintains effective working relationships with insurance/regulatory agency authorities, trade associations, other insurance/financial company and business partners. Has direct interaction with regulatory agencies, sales force and customers. Provides compliance advice on new products and on how changes in regulations may affect documentation and compliance procedures. Responsibilities are within the Compliance Function as a generalist or in a combination of disciplines. Conducts and analyzes best practices research and surveys. Develops recommendations to senior management on integration with compliance and business requirements. Contributes to the development of functional strategy. Assists in the development of less experienced Compliance team members and provides the compliance leader with feedback on the performance of team members. Leads and often contributes to improved processes that increase customer satisfaction. Uses technology to increase efficiencies. Leads the design of new processes and development of new services. Leads project teams to achieve milestones and objectives. Establishes collaborative relationships with peers, legal partners and business unit customers. Represents compliance interests and simultaneously responds to the needs of the business unit; resolves conflicts with minimum noise; is seen as a team player and is cooperative. Gains trust and support of peers and customers through dedication to consistently delivering results, and encourages collaboration. Performs other related duties as assigned, and leads special projects.

The candidate should have Undergraduate studies. MBA or J.D. degree is preferred. Completion of specialized course work in securities, finance or insurance regulations preferred; Series 7 and 24 licenses is required. Must obtain the required Federal and/or state licenses/registrations within the time period designated by the business unit. Additional licenses/registrations may be required when new products and services are implemented. 8+ years of compliance work experience in a financial services, legal, regulatory compliance or similar role is needed. Experience in working with monitoring and implementing new securities and insurance regulations is preferred; experience with developing compliance programs, policies, procedures, training and communication a plus. Should have in-depth working knowledge of insurance and financial services products and policy provisions; state insurance department rules and regulations; SEC, FINRA, MSRB, State Securities regulations, DOL regulations, and the Internal Revenue Code. Excellent verbal and written communication skills for interaction with business and compliance leadership, regulatory agencies and all levels of associates; strategic planning, and negotiation skills are needed.
Legal 8 - 0 Full-time 2013-05-13
 
Corporate/Attorney/In House/Columbus, Ohio
Refer job# EOTS27139
 
Senior Consultant, Corporate Compliance The candidate will oversee and maintain compliance policies and written supervisory procedures tailored to the NF business models that are designed to achieve compliance with and prevent violations of applicable laws and regulations. Maintain a current working knowledge of the NF business models and strategies. Understand at a detailed level the sales and product strategies and tactics and the related distribution and operations compliance programs strategic priorities and elements. Maintain positive, productive and proactive business relationships with associates who support .the broker dealers, investment advisors, life insurance companies, and retirement plans business. Be a subject matter expert in federal and state regulations and Model Acts, the regulatory environment, and emerging regulations that could impact the NFS compliance programs, and participate in industry calls relative to emerging and recently enacted regulations. Communicate with compliance associates and clients the status of emerging, proposed and enacted regulations and the relative impact to clients. Assist compliance associates and clients with reviewing and understanding complicated new/proposed laws/regulations, identify business impacts, and manage regulatory implementation projects. Translates securities, investment advisor, insurance and DOL laws and regulations into compliance policies and written supervisory procedures tailored to the NF business models and risk profiles. Assists with the development and delivery of compliance training and communications on the compliance policies and procedures. Assists with, and consults on the development and implementation of the NFS Compliance Programs to carry out, enforce, monitor and test the effectiveness of the compliance policies. Assist compliance associates with escalating and managing complex compliance matters and managing remediation plans. Assist with, as needed, managing regulatory exams and inquiries. Consult with compliance associates and business clients on regulatory exam and inquiry issues, and assist clients with managing action plans that arise from regulatory exams and internal audits. Assists in the development, coaching and mentoring of compliance associates. Leads and participates in continuous improvement initiatives to streamline processes that increase compliance effectiveness and the customer experience. Participate on external industry committees and with corporate s Government Relations on issues that impact the broker dealers, investment advisors, life insurance companies, and retirement plans activities. Develop and deliver training, compliance communications and other types of presentations with respect to new regulations and compliance policies. Communicate and consult with, and make presentations to senior business leaders and associates regarding regulations, compliance policies and written supervisory procedures. Solves unique and complex problems that have a broad impact on compliance and the business. Provides multi-level and multi-issue consulting and advisory services at the most complex levels to a diverse mix of internal and external customers, such as administration, sales, marketing, actuarial, systems, claims, attorneys, accountants, financial advisors, and government and regulatory agencies. Evaluates the most complex business processes and identifies compliance impacts and related requirements; and, assists in the development and design of strategic and tactical plans. Anticipates internal and/or external business challenges and/or regulatory issues; recommends process, product or service improvements. Ensures compliance programs comply with all organizational as well as state and federal regulations. Designs regulatory compliance evaluation and monitoring/testing procedures and tools. Partners with General Counsel regarding compliance issues and strategies. Leads the analysis and monitoring of industry trends in compliance. Identifies impact to the business and designs programs and policies that support competitive positioning. Delivers consultation regarding trends. Leads the development of business unit policy guidelines. Designs, consults, and coordinates resources with clients and team members on policies and procedures related to compliance issues. Directs the development and implementation of policies, processes, programs and consulting services for senior management to optimally utilize human resources. Administers and consults with senior management to plan strategic initiatives to enhance the organization's development, performance, and goal achievement. Maintains effective working relationships with insurance/regulatory agency authorities, trade associations, other insurance/financial company and business partners. Has direct interaction with regulatory agencies, sales force and customers. Provides compliance advice on new products and on how changes in regulations may affect documentation and compliance procedures. Responsibilities are within the Compliance Function as a generalist or in a combination of disciplines. Conducts and analyzes best practices research and surveys. Develops recommendations to senior management on integration with compliance and business requirements. Contributes to the development of functional strategy. Assists in the development of less experienced Compliance team members and provides the compliance leader with feedback on the performance of team members. Leads and often contributes to improved processes that increase customer satisfaction. Uses technology to increase efficiencies. Leads the design of new processes and development of new services. Leads project teams to achieve milestones and objectives. Establishes collaborative relationships with peers, legal partners and business unit customers. Represents compliance interests and simultaneously responds to the needs of the business unit; resolves conflicts with minimum noise; is seen as a team player and is cooperative. Gains trust and support of peers and customers through dedication to consistently delivering results, and encourages collaboration. Performs other related duties as assigned, and leads special projects.

The candidate should have Undergraduate studies. MBA or J.D. degree is preferred. Completion of specialized course work in securities, finance or insurance regulations preferred; Series 7 and 24 licenses is required. Must obtain the required Federal and/or state licenses/registrations within the time period designated by the business unit. Additional licenses/registrations may be required when new products and services are implemented. 8+ years of compliance work experience in a financial services, legal, regulatory compliance or similar role is needed. Experience in working with monitoring and implementing new securities and insurance regulations is preferred; experience with developing compliance programs, policies, procedures, training and communication a plus. Should have in-depth working knowledge of insurance and financial services products and policy provisions; state insurance department rules and regulations; SEC, FINRA, MSRB, State Securities regulations, DOL regulations, and the Internal Revenue Code. Excellent verbal and written communication skills for interaction with business and compliance leadership, regulatory agencies and all levels of associates; strategic planning, and negotiation skills are needed.
 
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