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Melinda Burrows
Deputy General Counsel
- Litigation and
Compliance, Progress
Energy Service Company
LLC
 

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Job of the Day
General Counsel
Boise Idaho United States

Futura Title & Escrow Corp, a multi-state title and escrow company, is seeking part-time General Counsel to join our corporate team to support our various companies (AmeriTitle, Alliance Title & Escrow, Futura 1031, Inc.).  This is a great opportunit...


In House Legal Job Listings

YOUR WINDOW TO A WORLD OF OPPORTUNITIES
 
Welcome to the job listings section of General Counsel Consulting. We are constantly updating our jobs seven days a week. As a firm dedicated to in-house search and placement, our ability to forge strong relationships with top-rated companies around the world allows us to offer our candidates a breadth of opportunities we believe is unrivaled.
 
We are pleased that your assessment of options has led you to General Counsel Consulting, and we invite you to browse our website to learn more about our firm and the career opportunities we offer. If you would like to be considered for an in-house attorney position, feel free to submit your resume.
 
 

Banking/Attorney/In House/Leesville, South Carolina

Leesville SC Operational Compliance Manager - Compliance Manager 4 The candidate will be responsible to use managerial expertise and powerful communication skills to oversee team of Compliance and Operational Risk professionals to: Develop and integrate risk analysis and reporting into a global investment management company with multiple legal entities; Manage new initiatives during development phase for Risk and Compliance to assure appropriate integration with procedures; Create and link a detailed framework to document risk discussions, validation and decisions; Develop and evaluate forensic testing to identify emerging risks; Collaborate with all applicable business units and apply company risk tools and create additional tools appropriate for Investment Management; Deliver risk expertise and consulting for projects and initiatives, including project management for new initiatives and project as appropriate; Build appropriate detailed and summary reporting for all business activities for new projects and risk assessments for corporate partners, management and the Boards of Trustees/Directors; Evaluate and assure testing for the validity and range of risks, as well as the effectiveness and reliance of controls. Will report and communicate with all levels in the organization as well as externally as appropriate including to Senior Leadership across the organization and Regulators.

The candidate should preferable have Bachelor's degree in Business, Economics, Finance, Accounting or related field. J.D. or other advanced degree is desired. CFA or other appropriate industry designation is preferred. Should have 10+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 5 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). International compliance experience is desired. Must have experience in federal securities risks, primarily related to the Investment Advisers Act and Investment Company Act, industry practices (40 Act). 5+ years management experience is needed. Should have proven experience and ability to manage the creation, execution and report a risk framework for an Investment Advisor. Must have In-depth knowledge of appropriate risks, including but not limited to, Investment, Operations, Regulatory and Reputational. Should concrete understanding of conflicts of interest scenarios in the investment management industry and reporting thereon. Knowledge of complex investments and associated risks are preferred. Must have proven ability in risk officer role for 1940 Act Advisor. Proven ability to train team members to proactively identify risk factors prior to regulatory exams are needed.
Legal 5 - 0 Full-time 2014-08-29

Banking/Attorney/In House/Hilton Head Island, South Carolina

Hilton Head Island SC Operational Compliance Manager - Compliance Manager 4 The candidate will be responsible to use managerial expertise and powerful communication skills to oversee team of Compliance and Operational Risk professionals to: Develop and integrate risk analysis and reporting into a global investment management company with multiple legal entities; Manage new initiatives during development phase for Risk and Compliance to assure appropriate integration with procedures; Create and link a detailed framework to document risk discussions, validation and decisions; Develop and evaluate forensic testing to identify emerging risks; Collaborate with all applicable business units and apply company risk tools and create additional tools appropriate for Investment Management; Deliver risk expertise and consulting for projects and initiatives, including project management for new initiatives and project as appropriate; Build appropriate detailed and summary reporting for all business activities for new projects and risk assessments for corporate partners, management and the Boards of Trustees/Directors; Evaluate and assure testing for the validity and range of risks, as well as the effectiveness and reliance of controls. Will report and communicate with all levels in the organization as well as externally as appropriate including to Senior Leadership across the organization and Regulators.

The candidate should preferable have Bachelor's degree in Business, Economics, Finance, Accounting or related field. J.D. or other advanced degree is desired. CFA or other appropriate industry designation is preferred. Should have 10+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 5 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). International compliance experience is desired. Must have experience in federal securities risks, primarily related to the Investment Advisers Act and Investment Company Act, industry practices (40 Act). 5+ years management experience is needed. Should have proven experience and ability to manage the creation, execution and report a risk framework for an Investment Advisor. Must have In-depth knowledge of appropriate risks, including but not limited to, Investment, Operations, Regulatory and Reputational. Should concrete understanding of conflicts of interest scenarios in the investment management industry and reporting thereon. Knowledge of complex investments and associated risks are preferred. Must have proven ability in risk officer role for 1940 Act Advisor. Proven ability to train team members to proactively identify risk factors prior to regulatory exams are needed.
Legal 5 - 0 Full-time 2014-08-29

Banking/Attorney/In House/Hartsville, South Carolina

Hartsville SC Operational Compliance Manager - Compliance Manager 4 The candidate will be responsible to use managerial expertise and powerful communication skills to oversee team of Compliance and Operational Risk professionals to: Develop and integrate risk analysis and reporting into a global investment management company with multiple legal entities; Manage new initiatives during development phase for Risk and Compliance to assure appropriate integration with procedures; Create and link a detailed framework to document risk discussions, validation and decisions; Develop and evaluate forensic testing to identify emerging risks; Collaborate with all applicable business units and apply company risk tools and create additional tools appropriate for Investment Management; Deliver risk expertise and consulting for projects and initiatives, including project management for new initiatives and project as appropriate; Build appropriate detailed and summary reporting for all business activities for new projects and risk assessments for corporate partners, management and the Boards of Trustees/Directors; Evaluate and assure testing for the validity and range of risks, as well as the effectiveness and reliance of controls. Will report and communicate with all levels in the organization as well as externally as appropriate including to Senior Leadership across the organization and Regulators.

The candidate should preferable have Bachelor's degree in Business, Economics, Finance, Accounting or related field. J.D. or other advanced degree is desired. CFA or other appropriate industry designation is preferred. Should have 10+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 5 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). International compliance experience is desired. Must have experience in federal securities risks, primarily related to the Investment Advisers Act and Investment Company Act, industry practices (40 Act). 5+ years management experience is needed. Should have proven experience and ability to manage the creation, execution and report a risk framework for an Investment Advisor. Must have In-depth knowledge of appropriate risks, including but not limited to, Investment, Operations, Regulatory and Reputational. Should concrete understanding of conflicts of interest scenarios in the investment management industry and reporting thereon. Knowledge of complex investments and associated risks are preferred. Must have proven ability in risk officer role for 1940 Act Advisor. Proven ability to train team members to proactively identify risk factors prior to regulatory exams are needed.
Legal 5 - 0 Full-time 2014-08-29

Banking/Attorney/In House/Greer, South Carolina

Greer SC Operational Compliance Manager - Compliance Manager 4 The candidate will be responsible to use managerial expertise and powerful communication skills to oversee team of Compliance and Operational Risk professionals to: Develop and integrate risk analysis and reporting into a global investment management company with multiple legal entities; Manage new initiatives during development phase for Risk and Compliance to assure appropriate integration with procedures; Create and link a detailed framework to document risk discussions, validation and decisions; Develop and evaluate forensic testing to identify emerging risks; Collaborate with all applicable business units and apply company risk tools and create additional tools appropriate for Investment Management; Deliver risk expertise and consulting for projects and initiatives, including project management for new initiatives and project as appropriate; Build appropriate detailed and summary reporting for all business activities for new projects and risk assessments for corporate partners, management and the Boards of Trustees/Directors; Evaluate and assure testing for the validity and range of risks, as well as the effectiveness and reliance of controls. Will report and communicate with all levels in the organization as well as externally as appropriate including to Senior Leadership across the organization and Regulators.

The candidate should preferable have Bachelor's degree in Business, Economics, Finance, Accounting or related field. J.D. or other advanced degree is desired. CFA or other appropriate industry designation is preferred. Should have 10+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 5 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). International compliance experience is desired. Must have experience in federal securities risks, primarily related to the Investment Advisers Act and Investment Company Act, industry practices (40 Act). 5+ years management experience is needed. Should have proven experience and ability to manage the creation, execution and report a risk framework for an Investment Advisor. Must have In-depth knowledge of appropriate risks, including but not limited to, Investment, Operations, Regulatory and Reputational. Should concrete understanding of conflicts of interest scenarios in the investment management industry and reporting thereon. Knowledge of complex investments and associated risks are preferred. Must have proven ability in risk officer role for 1940 Act Advisor. Proven ability to train team members to proactively identify risk factors prior to regulatory exams are needed.
Legal 5 - 0 Full-time 2014-08-29

Banking/Attorney/In House/Greenwood, South Carolina

Greenwood SC Operational Compliance Manager - Compliance Manager 4 The candidate will be responsible to use managerial expertise and powerful communication skills to oversee team of Compliance and Operational Risk professionals to: Develop and integrate risk analysis and reporting into a global investment management company with multiple legal entities; Manage new initiatives during development phase for Risk and Compliance to assure appropriate integration with procedures; Create and link a detailed framework to document risk discussions, validation and decisions; Develop and evaluate forensic testing to identify emerging risks; Collaborate with all applicable business units and apply company risk tools and create additional tools appropriate for Investment Management; Deliver risk expertise and consulting for projects and initiatives, including project management for new initiatives and project as appropriate; Build appropriate detailed and summary reporting for all business activities for new projects and risk assessments for corporate partners, management and the Boards of Trustees/Directors; Evaluate and assure testing for the validity and range of risks, as well as the effectiveness and reliance of controls. Will report and communicate with all levels in the organization as well as externally as appropriate including to Senior Leadership across the organization and Regulators.

The candidate should preferable have Bachelor's degree in Business, Economics, Finance, Accounting or related field. J.D. or other advanced degree is desired. CFA or other appropriate industry designation is preferred. Should have 10+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 5 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). International compliance experience is desired. Must have experience in federal securities risks, primarily related to the Investment Advisers Act and Investment Company Act, industry practices (40 Act). 5+ years management experience is needed. Should have proven experience and ability to manage the creation, execution and report a risk framework for an Investment Advisor. Must have In-depth knowledge of appropriate risks, including but not limited to, Investment, Operations, Regulatory and Reputational. Should concrete understanding of conflicts of interest scenarios in the investment management industry and reporting thereon. Knowledge of complex investments and associated risks are preferred. Must have proven ability in risk officer role for 1940 Act Advisor. Proven ability to train team members to proactively identify risk factors prior to regulatory exams are needed.
Legal 5 - 0 Full-time 2014-08-29

Banking/Attorney/In House/Greenville, South Carolina

Greenville SC Operational Compliance Manager - Compliance Manager 4 The candidate will be responsible to use managerial expertise and powerful communication skills to oversee team of Compliance and Operational Risk professionals to: Develop and integrate risk analysis and reporting into a global investment management company with multiple legal entities; Manage new initiatives during development phase for Risk and Compliance to assure appropriate integration with procedures; Create and link a detailed framework to document risk discussions, validation and decisions; Develop and evaluate forensic testing to identify emerging risks; Collaborate with all applicable business units and apply company risk tools and create additional tools appropriate for Investment Management; Deliver risk expertise and consulting for projects and initiatives, including project management for new initiatives and project as appropriate; Build appropriate detailed and summary reporting for all business activities for new projects and risk assessments for corporate partners, management and the Boards of Trustees/Directors; Evaluate and assure testing for the validity and range of risks, as well as the effectiveness and reliance of controls. Will report and communicate with all levels in the organization as well as externally as appropriate including to Senior Leadership across the organization and Regulators.

The candidate should preferable have Bachelor's degree in Business, Economics, Finance, Accounting or related field. J.D. or other advanced degree is desired. CFA or other appropriate industry designation is preferred. Should have 10+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 5 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). International compliance experience is desired. Must have experience in federal securities risks, primarily related to the Investment Advisers Act and Investment Company Act, industry practices (40 Act). 5+ years management experience is needed. Should have proven experience and ability to manage the creation, execution and report a risk framework for an Investment Advisor. Must have In-depth knowledge of appropriate risks, including but not limited to, Investment, Operations, Regulatory and Reputational. Should concrete understanding of conflicts of interest scenarios in the investment management industry and reporting thereon. Knowledge of complex investments and associated risks are preferred. Must have proven ability in risk officer role for 1940 Act Advisor. Proven ability to train team members to proactively identify risk factors prior to regulatory exams are needed.
Legal 5 - 0 Full-time 2014-08-29

Banking/Attorney/In House/Fort Mill, South Carolina

Fort Mill SC Operational Compliance Manager - Compliance Manager 4 The candidate will be responsible to use managerial expertise and powerful communication skills to oversee team of Compliance and Operational Risk professionals to: Develop and integrate risk analysis and reporting into a global investment management company with multiple legal entities; Manage new initiatives during development phase for Risk and Compliance to assure appropriate integration with procedures; Create and link a detailed framework to document risk discussions, validation and decisions; Develop and evaluate forensic testing to identify emerging risks; Collaborate with all applicable business units and apply company risk tools and create additional tools appropriate for Investment Management; Deliver risk expertise and consulting for projects and initiatives, including project management for new initiatives and project as appropriate; Build appropriate detailed and summary reporting for all business activities for new projects and risk assessments for corporate partners, management and the Boards of Trustees/Directors; Evaluate and assure testing for the validity and range of risks, as well as the effectiveness and reliance of controls. Will report and communicate with all levels in the organization as well as externally as appropriate including to Senior Leadership across the organization and Regulators.

The candidate should preferable have Bachelor's degree in Business, Economics, Finance, Accounting or related field. J.D. or other advanced degree is desired. CFA or other appropriate industry designation is preferred. Should have 10+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 5 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). International compliance experience is desired. Must have experience in federal securities risks, primarily related to the Investment Advisers Act and Investment Company Act, industry practices (40 Act). 5+ years management experience is needed. Should have proven experience and ability to manage the creation, execution and report a risk framework for an Investment Advisor. Must have In-depth knowledge of appropriate risks, including but not limited to, Investment, Operations, Regulatory and Reputational. Should concrete understanding of conflicts of interest scenarios in the investment management industry and reporting thereon. Knowledge of complex investments and associated risks are preferred. Must have proven ability in risk officer role for 1940 Act Advisor. Proven ability to train team members to proactively identify risk factors prior to regulatory exams are needed.
Legal 5 - 0 Full-time 2014-08-29

Banking/Attorney/In House/Georgetown, South Carolina

Georgetown SC Operational Compliance Manager - Compliance Manager 4 The candidate will be responsible to use managerial expertise and powerful communication skills to oversee team of Compliance and Operational Risk professionals to: Develop and integrate risk analysis and reporting into a global investment management company with multiple legal entities; Manage new initiatives during development phase for Risk and Compliance to assure appropriate integration with procedures; Create and link a detailed framework to document risk discussions, validation and decisions; Develop and evaluate forensic testing to identify emerging risks; Collaborate with all applicable business units and apply company risk tools and create additional tools appropriate for Investment Management; Deliver risk expertise and consulting for projects and initiatives, including project management for new initiatives and project as appropriate; Build appropriate detailed and summary reporting for all business activities for new projects and risk assessments for corporate partners, management and the Boards of Trustees/Directors; Evaluate and assure testing for the validity and range of risks, as well as the effectiveness and reliance of controls. Will report and communicate with all levels in the organization as well as externally as appropriate including to Senior Leadership across the organization and Regulators.

The candidate should preferable have Bachelor's degree in Business, Economics, Finance, Accounting or related field. J.D. or other advanced degree is desired. CFA or other appropriate industry designation is preferred. Should have 10+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 5 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). International compliance experience is desired. Must have experience in federal securities risks, primarily related to the Investment Advisers Act and Investment Company Act, industry practices (40 Act). 5+ years management experience is needed. Should have proven experience and ability to manage the creation, execution and report a risk framework for an Investment Advisor. Must have In-depth knowledge of appropriate risks, including but not limited to, Investment, Operations, Regulatory and Reputational. Should concrete understanding of conflicts of interest scenarios in the investment management industry and reporting thereon. Knowledge of complex investments and associated risks are preferred. Must have proven ability in risk officer role for 1940 Act Advisor. Proven ability to train team members to proactively identify risk factors prior to regulatory exams are needed.
Legal 5 - 0 Full-time 2014-08-29

Banking/Attorney/In House/Fort Mill, South Carolina

Fort Mill SC Operational Compliance Manager - Compliance Manager 4 The candidate will be responsible to use managerial expertise and powerful communication skills to oversee team of Compliance and Operational Risk professionals to: Develop and integrate risk analysis and reporting into a global investment management company with multiple legal entities; Manage new initiatives during development phase for Risk and Compliance to assure appropriate integration with procedures; Create and link a detailed framework to document risk discussions, validation and decisions; Develop and evaluate forensic testing to identify emerging risks; Collaborate with all applicable business units and apply company risk tools and create additional tools appropriate for Investment Management; Deliver risk expertise and consulting for projects and initiatives, including project management for new initiatives and project as appropriate; Build appropriate detailed and summary reporting for all business activities for new projects and risk assessments for corporate partners, management and the Boards of Trustees/Directors; Evaluate and assure testing for the validity and range of risks, as well as the effectiveness and reliance of controls. Will report and communicate with all levels in the organization as well as externally as appropriate including to Senior Leadership across the organization and Regulators.

The candidate should preferable have Bachelor's degree in Business, Economics, Finance, Accounting or related field. J.D. or other advanced degree is desired. CFA or other appropriate industry designation is preferred. Should have 10+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 5 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). International compliance experience is desired. Must have experience in federal securities risks, primarily related to the Investment Advisers Act and Investment Company Act, industry practices (40 Act). 5+ years management experience is needed. Should have proven experience and ability to manage the creation, execution and report a risk framework for an Investment Advisor. Must have In-depth knowledge of appropriate risks, including but not limited to, Investment, Operations, Regulatory and Reputational. Should concrete understanding of conflicts of interest scenarios in the investment management industry and reporting thereon. Knowledge of complex investments and associated risks are preferred. Must have proven ability in risk officer role for 1940 Act Advisor. Proven ability to train team members to proactively identify risk factors prior to regulatory exams are needed.
Legal 5 - 0 Full-time 2014-08-29

Banking/Attorney/In House/Lyman, South Carolina

Lyman SC Operational Compliance Manager - Compliance Manager 4 The candidate will be responsible to use managerial expertise and powerful communication skills to oversee team of Compliance and Operational Risk professionals to: Develop and integrate risk analysis and reporting into a global investment management company with multiple legal entities; Manage new initiatives during development phase for Risk and Compliance to assure appropriate integration with procedures; Create and link a detailed framework to document risk discussions, validation and decisions; Develop and evaluate forensic testing to identify emerging risks; Collaborate with all applicable business units and apply company risk tools and create additional tools appropriate for Investment Management; Deliver risk expertise and consulting for projects and initiatives, including project management for new initiatives and project as appropriate; Build appropriate detailed and summary reporting for all business activities for new projects and risk assessments for corporate partners, management and the Boards of Trustees/Directors; Evaluate and assure testing for the validity and range of risks, as well as the effectiveness and reliance of controls. Will report and communicate with all levels in the organization as well as externally as appropriate including to Senior Leadership across the organization and Regulators.

The candidate should preferable have Bachelor's degree in Business, Economics, Finance, Accounting or related field. J.D. or other advanced degree is desired. CFA or other appropriate industry designation is preferred. Should have 10+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 5 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). International compliance experience is desired. Must have experience in federal securities risks, primarily related to the Investment Advisers Act and Investment Company Act, industry practices (40 Act). 5+ years management experience is needed. Should have proven experience and ability to manage the creation, execution and report a risk framework for an Investment Advisor. Must have In-depth knowledge of appropriate risks, including but not limited to, Investment, Operations, Regulatory and Reputational. Should concrete understanding of conflicts of interest scenarios in the investment management industry and reporting thereon. Knowledge of complex investments and associated risks are preferred. Must have proven ability in risk officer role for 1940 Act Advisor. Proven ability to train team members to proactively identify risk factors prior to regulatory exams are needed.
Legal 5 - 0 Full-time 2014-08-29
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Staff Counsel - US Trade & Distribution - 1009741
In-House,Chrysler
Location : Auburn Hills Michigan United States

The Staff Counsel position is within the US Trade and Distribution section of the Office of the General Counsel, which represents the sales and distribution function of the company. The primary role will be to provide counsel on both litigation and t... + read more

aug 15, 2014


Assistant General Counsel (0-3 years)
In-House,Wellington Insurance
Location : Fort Worth Texas United States

Wellington Insurance Group is seeking an attorney to join the Office of General Counsel.  The Assistant General Counsel is responsible for providing legal support to the General Counsel on a variety of business transactions and legal, regulatory and ... + read more

aug 08, 2014


 1 2 3 4 5... 403 
 
Banking/Attorney/In House/Leesville, South Carolina
Refer job# VNUN62816
 
Operational Compliance Manager - Compliance Manager 4 The candidate will be responsible to use managerial expertise and powerful communication skills to oversee team of Compliance and Operational Risk professionals to: Develop and integrate risk analysis and reporting into a global investment management company with multiple legal entities; Manage new initiatives during development phase for Risk and Compliance to assure appropriate integration with procedures; Create and link a detailed framework to document risk discussions, validation and decisions; Develop and evaluate forensic testing to identify emerging risks; Collaborate with all applicable business units and apply company risk tools and create additional tools appropriate for Investment Management; Deliver risk expertise and consulting for projects and initiatives, including project management for new initiatives and project as appropriate; Build appropriate detailed and summary reporting for all business activities for new projects and risk assessments for corporate partners, management and the Boards of Trustees/Directors; Evaluate and assure testing for the validity and range of risks, as well as the effectiveness and reliance of controls. Will report and communicate with all levels in the organization as well as externally as appropriate including to Senior Leadership across the organization and Regulators.

The candidate should preferable have Bachelor's degree in Business, Economics, Finance, Accounting or related field. J.D. or other advanced degree is desired. CFA or other appropriate industry designation is preferred. Should have 10+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 5 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). International compliance experience is desired. Must have experience in federal securities risks, primarily related to the Investment Advisers Act and Investment Company Act, industry practices (40 Act). 5+ years management experience is needed. Should have proven experience and ability to manage the creation, execution and report a risk framework for an Investment Advisor. Must have In-depth knowledge of appropriate risks, including but not limited to, Investment, Operations, Regulatory and Reputational. Should concrete understanding of conflicts of interest scenarios in the investment management industry and reporting thereon. Knowledge of complex investments and associated risks are preferred. Must have proven ability in risk officer role for 1940 Act Advisor. Proven ability to train team members to proactively identify risk factors prior to regulatory exams are needed.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Banking/Attorney/In House/Hilton Head Island, South Carolina
Refer job# FEAM62817
 
Operational Compliance Manager - Compliance Manager 4 The candidate will be responsible to use managerial expertise and powerful communication skills to oversee team of Compliance and Operational Risk professionals to: Develop and integrate risk analysis and reporting into a global investment management company with multiple legal entities; Manage new initiatives during development phase for Risk and Compliance to assure appropriate integration with procedures; Create and link a detailed framework to document risk discussions, validation and decisions; Develop and evaluate forensic testing to identify emerging risks; Collaborate with all applicable business units and apply company risk tools and create additional tools appropriate for Investment Management; Deliver risk expertise and consulting for projects and initiatives, including project management for new initiatives and project as appropriate; Build appropriate detailed and summary reporting for all business activities for new projects and risk assessments for corporate partners, management and the Boards of Trustees/Directors; Evaluate and assure testing for the validity and range of risks, as well as the effectiveness and reliance of controls. Will report and communicate with all levels in the organization as well as externally as appropriate including to Senior Leadership across the organization and Regulators.

The candidate should preferable have Bachelor's degree in Business, Economics, Finance, Accounting or related field. J.D. or other advanced degree is desired. CFA or other appropriate industry designation is preferred. Should have 10+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 5 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). International compliance experience is desired. Must have experience in federal securities risks, primarily related to the Investment Advisers Act and Investment Company Act, industry practices (40 Act). 5+ years management experience is needed. Should have proven experience and ability to manage the creation, execution and report a risk framework for an Investment Advisor. Must have In-depth knowledge of appropriate risks, including but not limited to, Investment, Operations, Regulatory and Reputational. Should concrete understanding of conflicts of interest scenarios in the investment management industry and reporting thereon. Knowledge of complex investments and associated risks are preferred. Must have proven ability in risk officer role for 1940 Act Advisor. Proven ability to train team members to proactively identify risk factors prior to regulatory exams are needed.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Banking/Attorney/In House/Hartsville, South Carolina
Refer job# BECF62818
 
Operational Compliance Manager - Compliance Manager 4 The candidate will be responsible to use managerial expertise and powerful communication skills to oversee team of Compliance and Operational Risk professionals to: Develop and integrate risk analysis and reporting into a global investment management company with multiple legal entities; Manage new initiatives during development phase for Risk and Compliance to assure appropriate integration with procedures; Create and link a detailed framework to document risk discussions, validation and decisions; Develop and evaluate forensic testing to identify emerging risks; Collaborate with all applicable business units and apply company risk tools and create additional tools appropriate for Investment Management; Deliver risk expertise and consulting for projects and initiatives, including project management for new initiatives and project as appropriate; Build appropriate detailed and summary reporting for all business activities for new projects and risk assessments for corporate partners, management and the Boards of Trustees/Directors; Evaluate and assure testing for the validity and range of risks, as well as the effectiveness and reliance of controls. Will report and communicate with all levels in the organization as well as externally as appropriate including to Senior Leadership across the organization and Regulators.

The candidate should preferable have Bachelor's degree in Business, Economics, Finance, Accounting or related field. J.D. or other advanced degree is desired. CFA or other appropriate industry designation is preferred. Should have 10+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 5 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). International compliance experience is desired. Must have experience in federal securities risks, primarily related to the Investment Advisers Act and Investment Company Act, industry practices (40 Act). 5+ years management experience is needed. Should have proven experience and ability to manage the creation, execution and report a risk framework for an Investment Advisor. Must have In-depth knowledge of appropriate risks, including but not limited to, Investment, Operations, Regulatory and Reputational. Should concrete understanding of conflicts of interest scenarios in the investment management industry and reporting thereon. Knowledge of complex investments and associated risks are preferred. Must have proven ability in risk officer role for 1940 Act Advisor. Proven ability to train team members to proactively identify risk factors prior to regulatory exams are needed.
 
EMAIL TO COLLEAGUE  PERMALINK
 
 
Banking/Attorney/In House/Greer, South Carolina
Refer job# THRS62819
 
Operational Compliance Manager - Compliance Manager 4 The candidate will be responsible to use managerial expertise and powerful communication skills to oversee team of Compliance and Operational Risk professionals to: Develop and integrate risk analysis and reporting into a global investment management company with multiple legal entities; Manage new initiatives during development phase for Risk and Compliance to assure appropriate integration with procedures; Create and link a detailed framework to document risk discussions, validation and decisions; Develop and evaluate forensic testing to identify emerging risks; Collaborate with all applicable business units and apply company risk tools and create additional tools appropriate for Investment Management; Deliver risk expertise and consulting for projects and initiatives, including project management for new initiatives and project as appropriate; Build appropriate detailed and summary reporting for all business activities for new projects and risk assessments for corporate partners, management and the Boards of Trustees/Directors; Evaluate and assure testing for the validity and range of risks, as well as the effectiveness and reliance of controls. Will report and communicate with all levels in the organization as well as externally as appropriate including to Senior Leadership across the organization and Regulators.

The candidate should preferable have Bachelor's degree in Business, Economics, Finance, Accounting or related field. J.D. or other advanced degree is desired. CFA or other appropriate industry designation is preferred. Should have 10+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 5 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). International compliance experience is desired. Must have experience in federal securities risks, primarily related to the Investment Advisers Act and Investment Company Act, industry practices (40 Act). 5+ years management experience is needed. Should have proven experience and ability to manage the creation, execution and report a risk framework for an Investment Advisor. Must have In-depth knowledge of appropriate risks, including but not limited to, Investment, Operations, Regulatory and Reputational. Should concrete understanding of conflicts of interest scenarios in the investment management industry and reporting thereon. Knowledge of complex investments and associated risks are preferred. Must have proven ability in risk officer role for 1940 Act Advisor. Proven ability to train team members to proactively identify risk factors prior to regulatory exams are needed.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Banking/Attorney/In House/Greenwood, South Carolina
Refer job# WYJZ62820
 
Operational Compliance Manager - Compliance Manager 4 The candidate will be responsible to use managerial expertise and powerful communication skills to oversee team of Compliance and Operational Risk professionals to: Develop and integrate risk analysis and reporting into a global investment management company with multiple legal entities; Manage new initiatives during development phase for Risk and Compliance to assure appropriate integration with procedures; Create and link a detailed framework to document risk discussions, validation and decisions; Develop and evaluate forensic testing to identify emerging risks; Collaborate with all applicable business units and apply company risk tools and create additional tools appropriate for Investment Management; Deliver risk expertise and consulting for projects and initiatives, including project management for new initiatives and project as appropriate; Build appropriate detailed and summary reporting for all business activities for new projects and risk assessments for corporate partners, management and the Boards of Trustees/Directors; Evaluate and assure testing for the validity and range of risks, as well as the effectiveness and reliance of controls. Will report and communicate with all levels in the organization as well as externally as appropriate including to Senior Leadership across the organization and Regulators.

The candidate should preferable have Bachelor's degree in Business, Economics, Finance, Accounting or related field. J.D. or other advanced degree is desired. CFA or other appropriate industry designation is preferred. Should have 10+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 5 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). International compliance experience is desired. Must have experience in federal securities risks, primarily related to the Investment Advisers Act and Investment Company Act, industry practices (40 Act). 5+ years management experience is needed. Should have proven experience and ability to manage the creation, execution and report a risk framework for an Investment Advisor. Must have In-depth knowledge of appropriate risks, including but not limited to, Investment, Operations, Regulatory and Reputational. Should concrete understanding of conflicts of interest scenarios in the investment management industry and reporting thereon. Knowledge of complex investments and associated risks are preferred. Must have proven ability in risk officer role for 1940 Act Advisor. Proven ability to train team members to proactively identify risk factors prior to regulatory exams are needed.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Banking/Attorney/In House/Greenville, South Carolina
Refer job# WAWV62821
 
Operational Compliance Manager - Compliance Manager 4 The candidate will be responsible to use managerial expertise and powerful communication skills to oversee team of Compliance and Operational Risk professionals to: Develop and integrate risk analysis and reporting into a global investment management company with multiple legal entities; Manage new initiatives during development phase for Risk and Compliance to assure appropriate integration with procedures; Create and link a detailed framework to document risk discussions, validation and decisions; Develop and evaluate forensic testing to identify emerging risks; Collaborate with all applicable business units and apply company risk tools and create additional tools appropriate for Investment Management; Deliver risk expertise and consulting for projects and initiatives, including project management for new initiatives and project as appropriate; Build appropriate detailed and summary reporting for all business activities for new projects and risk assessments for corporate partners, management and the Boards of Trustees/Directors; Evaluate and assure testing for the validity and range of risks, as well as the effectiveness and reliance of controls. Will report and communicate with all levels in the organization as well as externally as appropriate including to Senior Leadership across the organization and Regulators.

The candidate should preferable have Bachelor's degree in Business, Economics, Finance, Accounting or related field. J.D. or other advanced degree is desired. CFA or other appropriate industry designation is preferred. Should have 10+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 5 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). International compliance experience is desired. Must have experience in federal securities risks, primarily related to the Investment Advisers Act and Investment Company Act, industry practices (40 Act). 5+ years management experience is needed. Should have proven experience and ability to manage the creation, execution and report a risk framework for an Investment Advisor. Must have In-depth knowledge of appropriate risks, including but not limited to, Investment, Operations, Regulatory and Reputational. Should concrete understanding of conflicts of interest scenarios in the investment management industry and reporting thereon. Knowledge of complex investments and associated risks are preferred. Must have proven ability in risk officer role for 1940 Act Advisor. Proven ability to train team members to proactively identify risk factors prior to regulatory exams are needed.
 
EMAIL TO COLLEAGUE  PERMALINK
 
 
Banking/Attorney/In House/Fort Mill, South Carolina
Refer job# PUIO62822
 
Operational Compliance Manager - Compliance Manager 4 The candidate will be responsible to use managerial expertise and powerful communication skills to oversee team of Compliance and Operational Risk professionals to: Develop and integrate risk analysis and reporting into a global investment management company with multiple legal entities; Manage new initiatives during development phase for Risk and Compliance to assure appropriate integration with procedures; Create and link a detailed framework to document risk discussions, validation and decisions; Develop and evaluate forensic testing to identify emerging risks; Collaborate with all applicable business units and apply company risk tools and create additional tools appropriate for Investment Management; Deliver risk expertise and consulting for projects and initiatives, including project management for new initiatives and project as appropriate; Build appropriate detailed and summary reporting for all business activities for new projects and risk assessments for corporate partners, management and the Boards of Trustees/Directors; Evaluate and assure testing for the validity and range of risks, as well as the effectiveness and reliance of controls. Will report and communicate with all levels in the organization as well as externally as appropriate including to Senior Leadership across the organization and Regulators.

The candidate should preferable have Bachelor's degree in Business, Economics, Finance, Accounting or related field. J.D. or other advanced degree is desired. CFA or other appropriate industry designation is preferred. Should have 10+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 5 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). International compliance experience is desired. Must have experience in federal securities risks, primarily related to the Investment Advisers Act and Investment Company Act, industry practices (40 Act). 5+ years management experience is needed. Should have proven experience and ability to manage the creation, execution and report a risk framework for an Investment Advisor. Must have In-depth knowledge of appropriate risks, including but not limited to, Investment, Operations, Regulatory and Reputational. Should concrete understanding of conflicts of interest scenarios in the investment management industry and reporting thereon. Knowledge of complex investments and associated risks are preferred. Must have proven ability in risk officer role for 1940 Act Advisor. Proven ability to train team members to proactively identify risk factors prior to regulatory exams are needed.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Banking/Attorney/In House/Georgetown, South Carolina
Refer job# YSKU62823
 
Operational Compliance Manager - Compliance Manager 4 The candidate will be responsible to use managerial expertise and powerful communication skills to oversee team of Compliance and Operational Risk professionals to: Develop and integrate risk analysis and reporting into a global investment management company with multiple legal entities; Manage new initiatives during development phase for Risk and Compliance to assure appropriate integration with procedures; Create and link a detailed framework to document risk discussions, validation and decisions; Develop and evaluate forensic testing to identify emerging risks; Collaborate with all applicable business units and apply company risk tools and create additional tools appropriate for Investment Management; Deliver risk expertise and consulting for projects and initiatives, including project management for new initiatives and project as appropriate; Build appropriate detailed and summary reporting for all business activities for new projects and risk assessments for corporate partners, management and the Boards of Trustees/Directors; Evaluate and assure testing for the validity and range of risks, as well as the effectiveness and reliance of controls. Will report and communicate with all levels in the organization as well as externally as appropriate including to Senior Leadership across the organization and Regulators.

The candidate should preferable have Bachelor's degree in Business, Economics, Finance, Accounting or related field. J.D. or other advanced degree is desired. CFA or other appropriate industry designation is preferred. Should have 10+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 5 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). International compliance experience is desired. Must have experience in federal securities risks, primarily related to the Investment Advisers Act and Investment Company Act, industry practices (40 Act). 5+ years management experience is needed. Should have proven experience and ability to manage the creation, execution and report a risk framework for an Investment Advisor. Must have In-depth knowledge of appropriate risks, including but not limited to, Investment, Operations, Regulatory and Reputational. Should concrete understanding of conflicts of interest scenarios in the investment management industry and reporting thereon. Knowledge of complex investments and associated risks are preferred. Must have proven ability in risk officer role for 1940 Act Advisor. Proven ability to train team members to proactively identify risk factors prior to regulatory exams are needed.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Banking/Attorney/In House/Fort Mill, South Carolina
Refer job# FEHL62824
 
Operational Compliance Manager - Compliance Manager 4 The candidate will be responsible to use managerial expertise and powerful communication skills to oversee team of Compliance and Operational Risk professionals to: Develop and integrate risk analysis and reporting into a global investment management company with multiple legal entities; Manage new initiatives during development phase for Risk and Compliance to assure appropriate integration with procedures; Create and link a detailed framework to document risk discussions, validation and decisions; Develop and evaluate forensic testing to identify emerging risks; Collaborate with all applicable business units and apply company risk tools and create additional tools appropriate for Investment Management; Deliver risk expertise and consulting for projects and initiatives, including project management for new initiatives and project as appropriate; Build appropriate detailed and summary reporting for all business activities for new projects and risk assessments for corporate partners, management and the Boards of Trustees/Directors; Evaluate and assure testing for the validity and range of risks, as well as the effectiveness and reliance of controls. Will report and communicate with all levels in the organization as well as externally as appropriate including to Senior Leadership across the organization and Regulators.

The candidate should preferable have Bachelor's degree in Business, Economics, Finance, Accounting or related field. J.D. or other advanced degree is desired. CFA or other appropriate industry designation is preferred. Should have 10+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 5 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). International compliance experience is desired. Must have experience in federal securities risks, primarily related to the Investment Advisers Act and Investment Company Act, industry practices (40 Act). 5+ years management experience is needed. Should have proven experience and ability to manage the creation, execution and report a risk framework for an Investment Advisor. Must have In-depth knowledge of appropriate risks, including but not limited to, Investment, Operations, Regulatory and Reputational. Should concrete understanding of conflicts of interest scenarios in the investment management industry and reporting thereon. Knowledge of complex investments and associated risks are preferred. Must have proven ability in risk officer role for 1940 Act Advisor. Proven ability to train team members to proactively identify risk factors prior to regulatory exams are needed.
 
EMAIL TO COLLEAGUE  PERMALINK
 
 
Banking/Attorney/In House/Lyman, South Carolina
Refer job# IHYK62825
 
Operational Compliance Manager - Compliance Manager 4 The candidate will be responsible to use managerial expertise and powerful communication skills to oversee team of Compliance and Operational Risk professionals to: Develop and integrate risk analysis and reporting into a global investment management company with multiple legal entities; Manage new initiatives during development phase for Risk and Compliance to assure appropriate integration with procedures; Create and link a detailed framework to document risk discussions, validation and decisions; Develop and evaluate forensic testing to identify emerging risks; Collaborate with all applicable business units and apply company risk tools and create additional tools appropriate for Investment Management; Deliver risk expertise and consulting for projects and initiatives, including project management for new initiatives and project as appropriate; Build appropriate detailed and summary reporting for all business activities for new projects and risk assessments for corporate partners, management and the Boards of Trustees/Directors; Evaluate and assure testing for the validity and range of risks, as well as the effectiveness and reliance of controls. Will report and communicate with all levels in the organization as well as externally as appropriate including to Senior Leadership across the organization and Regulators.

The candidate should preferable have Bachelor's degree in Business, Economics, Finance, Accounting or related field. J.D. or other advanced degree is desired. CFA or other appropriate industry designation is preferred. Should have 10+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 5 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). International compliance experience is desired. Must have experience in federal securities risks, primarily related to the Investment Advisers Act and Investment Company Act, industry practices (40 Act). 5+ years management experience is needed. Should have proven experience and ability to manage the creation, execution and report a risk framework for an Investment Advisor. Must have In-depth knowledge of appropriate risks, including but not limited to, Investment, Operations, Regulatory and Reputational. Should concrete understanding of conflicts of interest scenarios in the investment management industry and reporting thereon. Knowledge of complex investments and associated risks are preferred. Must have proven ability in risk officer role for 1940 Act Advisor. Proven ability to train team members to proactively identify risk factors prior to regulatory exams are needed.
 
EMAIL TO COLLEAGUE  PERMALINK
 

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