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Melinda Burrows
Deputy General Counsel
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Energy Service Company
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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.
 
If you are an employer looking to hire an in-house counsel, please click here to contact us and submit your opening.
 
 

Ethics and Compliance Counsel

Austin TX Ethics and Compliance Counsel Duties: Manage global investigations program including reviewing reports made to eBay's Integrity Helpline and, in collaboration with management, conducting investigations of reported misconduct, including extracting and analyzing data, developing investigation plans, collaborating with partners including Legal, People, and Security, and interviewing witnesses and subjects as needed. Maintain records of investigations case files. Develop and enhance policies, procedures and operating guidelines around eBay's Code of Business Conduct and Ethics and ensure operational systems are current, effective and maintained. Support the Business Ethics Officers (BEO) program by maintaining the BEO disclosure platform and providing support to BEOs as needed. Lead the annual ethics survey process, including revisions to the questions as needed and analysis of results for senior leadership. Support compliance with our Anti-Corruption Standard and applicable anti-corruption laws and regulations, including conducting due diligence on higher risk third parties and transaction monitoring. In collaboration with the enterprise training team, support and manage compliance training and workplace harassment training processes. Manage the ethics & compliance communications plan and otherwise promote a speak up culture within the employee population. Monitor systems managed by partner teams and coordinate with those teams on Code of Business Conduct & Ethics-related issues identified, including recommended remediation. Build periodic reports on compliance program data for Board reporting.

Qualifications: Bachelor's degree; Juris Doctor preferred. 5+ years of ethics/corporate compliance experience or experience in a control function such as Legal, Finance, Risk, Audit, or Investigations, Experience working on confidential investigations. Experience working in a global organization across time zones and across cultures. Experience and expertise with MS Office, G Suite, and Salesforce. Excellent verbal, written and interpersonal skills and the ability to communicate effectively; proficiency in English is required. Strong process and problem-solving skills, including prioritization of matters, proactive identification of issues and risks, and implementation of mitigation plans. Ability to provide risk-based advice, drive operational efficiency, and manage and think globally.
Legal 5 - 0 Full-time 2022-09-30

Ethics and Compliance Counsel

Salt Lake City UT Ethics and Compliance Counsel The candidate will manage global investigations program including reviewing reports made to eBay's Integrity Helpline and, in collaboration with management, conducting investigations of reported misconduct, including extracting and analyzing data, developing investigation plans, collaborating with partners including Legal, People, and Security, and interviewing witnesses and subjects as needed. Maintain records of investigations case files. Develop and enhance policies, procedures and operating guidelines around the Code of Business Conduct and Ethics and ensure operational systems are current, effective and maintained. Support the Business Ethics Officers (BEO) program by maintaining the BEO disclosure platform and providing support to BEOs as needed. Lead the annual ethics survey process, including revisions to the questions as needed and analysis of results for senior leadership. Support compliance with our Anti-Corruption Standard and applicable anti-corruption laws and regulations, including conducting due diligence on higher-risk third parties and transaction monitoring. In collaboration with the enterprise training team, support and manage compliance training and workplace harassment training processes. Manage the ethics & compliance communications plan and otherwise promote a speak up culture within the employee population. Monitor systems managed by partner teams and coordinate with those teams on Code of Business Conduct & Ethics-related issues identified, including recommended remediation. Build periodic reports on compliance program data for Board reporting.

The candidate should have 5+ years of ethics/corporate compliance experience or experience in a control function such as Legal, Finance, Risk, Audit, or Investigations. Bachelor's degree; Juris Doctor preferred. Experience working on confidential investigations. Ability to provide risk-based advice, drive operational efficiency, and manage and think globally. Strong process and problem-solving skills, including prioritization of matters, proactive identification of issues and risks, and implementation of mitigation plans. Ability to manage, pull, prioritize and report on data in a clean, crisp manner to serve multiple audiences; data analytics experience is a plus. Excellent verbal, written and interpersonal skills and the ability to communicate effectively; proficiency in English is required. Fun to be around in challenging situations with an amazing sense of humor. Experience working in a global organization across time zones and across cultures. Experience and expertise with MS Office, G Suite, and Salesforce.
Legal 5 - 0 Full-time 2022-09-30

Associate Regulatory Counsel - State Regulatory Compliance & Policy

Washington DC Associate Regulatory Counsel - State Regulatory Compliance and Policy Duties: Assist in drafting filings for submission to state regulatory agencies. Manage and maintain compliance and reporting for state regulatory agency requirements. Includes annual, semi-annual and quarterly reports. May include assisting Tax Team with timely reporting of surcharges and fees. Advise the business of reporting requirements as they evolve. Support the business needs for subsidy/funding programs (e.g. tariffs, terms and conditions, third party agents, applications, escalations, etc.). Build relationships with state regulatory officials and staff. Improve legal and regulatory filing processes while working closely with internal teams to ensure regulatory compliance processes are followed or established. File legal documents as needed within state agency guidelines.

Qualifications: Licensed attorney with a J.D. from an accredited law school. Should have 2-5 years of relevant professional experience. Detail-oriented, demonstrably excellent writing, superb oral presentation and organization skills, and the ability to flexibly manage multiple simultaneous assignments in a faced-paced and dynamic environment. Dedication to contributing as a positive team player. The ability to work independently based on general guidance.
Legal 2 - 5 Full-time 2022-09-30

General Counsel Head Of Municipal Securities Group Compliance

New York City NY General Counsel Head of Municipal Securities Group Compliance The candidate will manage and administer all policies and procedures associated with the Firm's MSG as well as policies concerning municipal securities that pertain to FICM Admin, PCG, and other Stifel business units. Develop, implement, operate, and be responsible for the Firm's compliance program that is designed to meet regulatory, corporate requirements as they pertain to municipal securities. Supervise the Municipal Compliance Department in conducting daily, periodic, and special compliance reviews involving the analysis of relevant documents, information, and records. Monitor and test the Firm's municipal securities policies and procedures to determine the adequacy and effectiveness of the Firm's municipal securities compliance program. Prepare and submit all required regulatory filings and disclosure documents in a timely and accurate manner. Train relevant personnel on municipal securities regulatory compliance matters to enhance understanding and awareness throughout the organization. Maintain well-organized systemic records of the Firm's municipal securities compliance program in the event of an outside audit and/or regulatory examination. Interface with regulators, examiners, internal legal counsel, and outside legal counsel as matters pertain to job duties. Maintain ongoing expertise in federal and state regulatory policies and communicate pertinent industry matters to senior management and the MSG. Provide direction, education, and support to the MSG and the Firm with respect to fiduciary and regulatory compliance activities. Learn and advise on new areas of law as products and services expand. Supervise external counsel. Perform such other duties as assigned by the Head of Municipal Securities Group Legal.

The candidate should have 10+ years of experience in municipal securities Legal and/or Compliance. Should have a JD degree, in good standing with a US State Bar. Experience managing multi-disciplinary teams of professionals. Strong knowledge and understanding of municipal securities laws and rules, including those of the SEC, FINRA, and the MSRB. Experience dealing with the U.S. Securities & Exchange Commission. Proven ability to add value through superior legal advice in a financial services context, including by counseling and generating good ideas for better structuring, risk mitigation, and effective provision of banking services. Practical knowledge of and experience providing advice regarding laws, rules and regulations relating to municipal securities transactions. Familiarity with Securities Act of 1933 and Securities Exchange Act of 1934, as well as MSRB rules and FINRA rules pertaining to fixed income securities. Excellent written and spoken communication, research and strategic thinking abilities. Eager to be part of a thriving and fast-paced large fixed-income business.
Legal 10 - 0 Full-time 2022-09-30

Lead Counsel, Ecomm-finance Regulatory Compliance

Hoboken NJ Lead Counsel, eComm-Finance Regulatory Compliance The candidate will be providing legal advice and counsel to the company to enhance and maintain initiatives on a range of legal, business and compliance matters, focused on the company's fast developing financial services products. Representing the business with regulatory agencies. Being familiar with financial services and fintech environment, eCommerce, and regulatory compliance programs including experience with U. S. federal and state regulatory regimes in regulatory areas related to eCommerce and financial services platforms such MTL s, MCA s, and other unregulated loan practices. Identifying, prioritizing, and managing risks to the company by engaging and assisting in research and drafting of presentations on legal issues. Reviewing and advising on agreements with various parties to ensure regulatory compliance with legal, contractual, and corporate requirements. Managing outside counsel. Proactively identifying risk and developing mitigation programs and strategies. Assisting on commenting and shaping regulatory developments at key agencies. Successfully collaborating with internal and external stakeholders. Should have 7+ yrs. prior experience in relevant regulatory matters and business compliance programs, in government, in-house, or private practice, particularly related to traditional finance and foundations of lending as well as fintech platforms. Law degree from an accredited law school and 6 years of experience in law. License to practice law in at least one state. Should have 2 years of experience leading cross-functional teams. Driven to execute and to act quickly. Process-minded and look for opportunities to streamline for improved efficiency and effectiveness. Strong communication skills and experience with senior leadership and stakeholders. Enjoy successfully working on cross-functional teams within a corporate environment. Legal 7 - 0 Full-time 2022-09-28

Senior Counsel, Compliance, Ethics & Litigation

Salt Lake City UT Senior Counsel, Compliance, Ethics & Litigation the candidate will be responsible for developing and documenting ethics and compliance policies and procedures; will maintain, implement, and manage all training on compliance-related subjects and hot-line processes. Defends, supervises, and manages commercial, trademark, real estate, and employment-related claims and litigation, including managing outside counsel and responding to administrative charges, complaints, attorney's letters, settlement demands, and claims. Negotiate appropriate resolutions to claims and other pending matters. Other litigation matters as required. Assists in developing, implementing, improving, and reviewing legal compliance projects and training. Provides advice and counsel to management and Human Resources professionals on a broad range of employment issues including recruiting; hiring; employee relations; discipline and terminations; leaves of absence; wage and hour compliance; EEO compliance; restrictive covenants; and contingent worker issues as well as guidance on internal HR/compliance investigations. Provides legal support to any compliance investigations and audits, working closely with senior management and human resources to evaluate and respond to suspected compliance violations, and for consistent enforcement, disclosure, and remedial action protocols. Periodically collaborates with colleagues with respect to various commercial contracts and agreements. Reviews and provides input on company policies and procedures. Promotes legal, compliance, and risk management best practices throughout the company. Maintains up-to-date knowledge of changes to legislation, particularly in relation to laws, rules, and regulations that directly affect the business. Researches and anticipates unique legal issues that could impact the company.

The candidate must have a law degree from a recognized university. Must be admitted to a recognized bar. Must have 7+ years of experience gained in a large law firm and/or in-house with a large company. Excellent oral, written, and presentation communication skills. Comfortable presenting to and working with the Executive Leadership team. Excellent relationship-building skills with an ability to prioritize, negotiate and work with a variety of internal and external stakeholders. Keen analytic and problem-solving skills that facilitate sound decision-making related to the financial management of the Company's assets. Strong negotiating skills with both legal and business-minded issues. Ability to work independently with little or no supervision.
Legal 7 - 0 Full-time 2022-09-28

Deputy Chief Compliance Officer, Assistant General Counsel

New York City NY Deputy Chief Compliance Officer, Assistant General Counsel The candidate will be monitoring industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conducting analyses as to how such developments affect the insurance industry. Drafting and maintaining policies, procedures, and training materials to enhance program efficiency and employee understanding, and mitigate related risk. Administering the compliance programs related to the Global Compliance Program (e.g., personal trading, outside business activities, gifts and business entertainment, political contributions, etc.). Overseeing various compliance projects and initiatives related to global program oversight including anti-bribery & corruption, conflicts of interest, data privacy, third-party program management, sanctions, anti-competition and hotline system management. Fielding inquiries from employees and management on compliance matters. Assisting in the annual review of compliance policies and procedures. Assisting on a variety of special projects and initiatives. Working with technology teams (including the creation of spec documents) to develop automated solutions that will enhance the compliance infrastructure. Bachelor's degree is required. Should preferably have 6+ years of experience in compliance in a corporate environment. An advanced degree or certification is preferred. Exceptional organizational skills are needed. Exceptional interpersonal skills and the ability to work with all levels of management are needed. Insurance Company experience is preferred. Should have the ability to create processes that drive efficiency. Creative ability in developing presentations, white papers and talking points. Independently identify, review, and clearly communicate potential issues and propose solutions to various stakeholders across the Firm. Should have proven ability to multi-task, work both independently and as a team player, and able to prioritize tasks in a fast-paced environment. Legal 6 - 0 Full-time 2022-09-28

Associate General Counsel, Compliance

Saint Louis MO Associate General Counsel, Compliance The candidate will oversee compliance with U.S. data privacy and applicable laws for Anheuser-Busch, including data collection, transfer and processing. Manage data privacy and regulatory issues with respect to the use of consumer data to promote a portfolio of brands. Advise on key issues of technology strategy from a legal, reputation and technical perspective. Review and advise on proposed state and federal legislation and work with the government affairs team. Identify enterprise-wide risks and conduct risk assessments. Use of data analytics. Work cross-functionally with functions outside of the Legal Department. Develop and refresh policies and training. Take on special projects as needed. Bachelor's Degree and J.D. required. Should have 3 years of experience advising on data privacy matters in an in-house or law firm position. Excellent written and oral communication skills. Exceptional organizational, analytical and interpersonal skills. Excellent presentation skills. Ability to handle multiple tasks with tight deadlines. Project management expertise a plus. Legal 3 - 0 Full-time 2022-09-28

Director, Counsel, Trade Compliance (b6)

Santa Clara CA Director, Counsel, Trade Compliance (B6) The candidate will be serving as the dedicated in-house legal support to the company's global trade function. Continually analyzing the evolving trade laws and regulations applicable to the company, and their impact on strategy and operations. Conducting and advising on trade compliance risk assessments, audits and due diligence reviews. Designing and advising on effective trade compliance policies, operating procedures and technology control plans. Developing and delivering trade compliance training for a variety of audiences. Conducting certain trade compliance-related internal investigations. Overseeing M&A and joint venture risk assessments, due diligence and integration plans. Undertaking special projects and supporting other compliance program initiative. Advising on cross-border transactions and a wide range of international trade compliance matters. Coordinating with external legal counsel, as appropriate, and provide legal advice to the company's global trade function as well as business units and departments. Frequently contacting with internal stakeholders throughout the company's global operations, including senior executives. Juris Doctorate degree and 6-8 years of experience in advising multinational businesses on trade compliance matters, including US export controls, sanctions programs is required. Should have 7-10 years of experience. In-house experience in the semiconductor industry is strongly preferred. Experience in government relations and trade strategy deployment is preferred. Mandarin, Korean, or Japanese skills are highly preferred. Legal 6 - 8 Full-time 2022-09-26

Senior Director, Ethics and Compliance Counsel

Santa Clara CA Senior Director, Ethics and Compliance Counsel The candidate will develop and lead the global Anti-Corruption and Anti-Bribery program, including training, communications, risk assessments, controls, reporting and mitigation strategies. Develop and lead the global corporate investigations program, including advice, reporting and develop and enhance program elements that feed into overall Ethics program maturity. Develop and lead third party risk assessments related to ethics and compliance, including risk indicators, due diligence, training and mitigation recommendations. Oversee, conduct and monitor enterprise legal and regulatory risk assessments and manage the risk management application. Liaise with Enterprise Risk Management activities, including providing ethics and compliance guidance for successful implementation of Governance, Risk and Compliance system improvements. Assist with the mapping and documentation of ethics and compliance controls and procedures that drive compliant behavior. Support a variety of Ethics and Compliance Program activities, including data analytics for reporting to a variety of internal stakeholders. Develop and support a global compliance program that incorporates regional support on identification of risks, reports, investigations, communication and overall support at a local level. Develop and oversee the Records Retention Program, working collaboratively with cross-functional teams to assess business and regulatory requirements and develop and implement programs, policies and procedures related thereto. Understand and advise on government compliance issues and develop programs, policies and procedures, where necessary, with respect to Public Sector Business Ethics and Conduct, gifts and gratuities, kickbacks, post-government employment, insider risk, conflicts of interest, whistleblower protection, and other related areas. Understand and advise on US Export Controls and Sanctions and support the trade compliance team on risk assessments, program controls and mitigation efforts. Work closely with US Public Sector Legal Team, and other teams to develop, deliver, and track the annual US Public Sector Compliance training program. Imagine and develop new programs as the Ethics and Compliance Program grows.

The candidate should have 12+ years of relevant corporate or government compliance and ethics experience or the functional equivalent, including experience in the following areas: ethics and compliance program development, government investigations, auditing, control development, policy development, project management, and program analytics. Licensed attorney with a law degree from an accredited university. Self-motivated, with the ability to manage and regularly prioritize workload to meet deadlines and adjust to fluctuations in workload. Possesses a practical, real-world, collaborative approach to problem-solving in the context of enterprise sales with the ability to make sound decisions and exercise good judgment. Ability to remain flexible in a changing business environment. Excellent oral and written communication skills. Working knowledge of compliance programs, solutions, processes, controls and procedures. Demonstrated ability to develop new processes, project manage, develop new programs, problem solve, achieve results and exercise good judgment. Ability to obtain and maintain a US government security clearance at the Top Secret level or above. Familiarity with working with channel partners (distributors, resellers) and related compliance issues. Experience working in a large multinational corporate compliance environment is a plus. Strong critical thinking skills and business acumen. Strong analytical, data reporting and database management skills are a plus. Common sense, great judgment and a good sense of humor.
Legal 12 - 0 Full-time 2022-09-24
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Director, Shareholder Advisory Attorney
In-House,SRS|Acquiom LLC
Location : Denver, CO, United States

Director, Shareholder Advisory Attorney Responsibilities: Serve as primary client contact on post-closing claims and contingent consideration/milestone issue management. Interpret and analyze deal agreements. Actively manage responses to claims and ... + read more

aug 18, 2022


 1 2 3 4 
 
Ethics and Compliance Counsel
Refer job# ZYNH170766
 
Ethics and Compliance Counsel Duties: Manage global investigations program including reviewing reports made to eBay's Integrity Helpline and, in collaboration with management, conducting investigations of reported misconduct, including extracting and analyzing data, developing investigation plans, collaborating with partners including Legal, People, and Security, and interviewing witnesses and subjects as needed. Maintain records of investigations case files. Develop and enhance policies, procedures and operating guidelines around eBay's Code of Business Conduct and Ethics and ensure operational systems are current, effective and maintained. Support the Business Ethics Officers (BEO) program by maintaining the BEO disclosure platform and providing support to BEOs as needed. Lead the annual ethics survey process, including revisions to the questions as needed and analysis of results for senior leadership. Support compliance with our Anti-Corruption Standard and applicable anti-corruption laws and regulations, including conducting due diligence on higher risk third parties and transaction monitoring. In collaboration with the enterprise training team, support and manage compliance training and workplace harassment training processes. Manage the ethics & compliance communications plan and otherwise promote a speak up culture within the employee population. Monitor systems managed by partner teams and coordinate with those teams on Code of Business Conduct & Ethics-related issues identified, including recommended remediation. Build periodic reports on compliance program data for Board reporting.

Qualifications: Bachelor's degree; Juris Doctor preferred. 5+ years of ethics/corporate compliance experience or experience in a control function such as Legal, Finance, Risk, Audit, or Investigations, Experience working on confidential investigations. Experience working in a global organization across time zones and across cultures. Experience and expertise with MS Office, G Suite, and Salesforce. Excellent verbal, written and interpersonal skills and the ability to communicate effectively; proficiency in English is required. Strong process and problem-solving skills, including prioritization of matters, proactive identification of issues and risks, and implementation of mitigation plans. Ability to provide risk-based advice, drive operational efficiency, and manage and think globally.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Ethics and Compliance Counsel
Refer job# RVZK170767
 
Ethics and Compliance Counsel The candidate will manage global investigations program including reviewing reports made to eBay's Integrity Helpline and, in collaboration with management, conducting investigations of reported misconduct, including extracting and analyzing data, developing investigation plans, collaborating with partners including Legal, People, and Security, and interviewing witnesses and subjects as needed. Maintain records of investigations case files. Develop and enhance policies, procedures and operating guidelines around the Code of Business Conduct and Ethics and ensure operational systems are current, effective and maintained. Support the Business Ethics Officers (BEO) program by maintaining the BEO disclosure platform and providing support to BEOs as needed. Lead the annual ethics survey process, including revisions to the questions as needed and analysis of results for senior leadership. Support compliance with our Anti-Corruption Standard and applicable anti-corruption laws and regulations, including conducting due diligence on higher-risk third parties and transaction monitoring. In collaboration with the enterprise training team, support and manage compliance training and workplace harassment training processes. Manage the ethics & compliance communications plan and otherwise promote a speak up culture within the employee population. Monitor systems managed by partner teams and coordinate with those teams on Code of Business Conduct & Ethics-related issues identified, including recommended remediation. Build periodic reports on compliance program data for Board reporting.

The candidate should have 5+ years of ethics/corporate compliance experience or experience in a control function such as Legal, Finance, Risk, Audit, or Investigations. Bachelor's degree; Juris Doctor preferred. Experience working on confidential investigations. Ability to provide risk-based advice, drive operational efficiency, and manage and think globally. Strong process and problem-solving skills, including prioritization of matters, proactive identification of issues and risks, and implementation of mitigation plans. Ability to manage, pull, prioritize and report on data in a clean, crisp manner to serve multiple audiences; data analytics experience is a plus. Excellent verbal, written and interpersonal skills and the ability to communicate effectively; proficiency in English is required. Fun to be around in challenging situations with an amazing sense of humor. Experience working in a global organization across time zones and across cultures. Experience and expertise with MS Office, G Suite, and Salesforce.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Associate Regulatory Counsel - State Regulatory Compliance & Policy
Refer job# GIBH170771
 
Associate Regulatory Counsel - State Regulatory Compliance and Policy Duties: Assist in drafting filings for submission to state regulatory agencies. Manage and maintain compliance and reporting for state regulatory agency requirements. Includes annual, semi-annual and quarterly reports. May include assisting Tax Team with timely reporting of surcharges and fees. Advise the business of reporting requirements as they evolve. Support the business needs for subsidy/funding programs (e.g. tariffs, terms and conditions, third party agents, applications, escalations, etc.). Build relationships with state regulatory officials and staff. Improve legal and regulatory filing processes while working closely with internal teams to ensure regulatory compliance processes are followed or established. File legal documents as needed within state agency guidelines.

Qualifications: Licensed attorney with a J.D. from an accredited law school. Should have 2-5 years of relevant professional experience. Detail-oriented, demonstrably excellent writing, superb oral presentation and organization skills, and the ability to flexibly manage multiple simultaneous assignments in a faced-paced and dynamic environment. Dedication to contributing as a positive team player. The ability to work independently based on general guidance.
 
EMAIL TO COLLEAGUE  PERMALINK
 
 
General Counsel Head Of Municipal Securities Group Compliance
Refer job# KIMV170785
 
General Counsel Head of Municipal Securities Group Compliance The candidate will manage and administer all policies and procedures associated with the Firm's MSG as well as policies concerning municipal securities that pertain to FICM Admin, PCG, and other Stifel business units. Develop, implement, operate, and be responsible for the Firm's compliance program that is designed to meet regulatory, corporate requirements as they pertain to municipal securities. Supervise the Municipal Compliance Department in conducting daily, periodic, and special compliance reviews involving the analysis of relevant documents, information, and records. Monitor and test the Firm's municipal securities policies and procedures to determine the adequacy and effectiveness of the Firm's municipal securities compliance program. Prepare and submit all required regulatory filings and disclosure documents in a timely and accurate manner. Train relevant personnel on municipal securities regulatory compliance matters to enhance understanding and awareness throughout the organization. Maintain well-organized systemic records of the Firm's municipal securities compliance program in the event of an outside audit and/or regulatory examination. Interface with regulators, examiners, internal legal counsel, and outside legal counsel as matters pertain to job duties. Maintain ongoing expertise in federal and state regulatory policies and communicate pertinent industry matters to senior management and the MSG. Provide direction, education, and support to the MSG and the Firm with respect to fiduciary and regulatory compliance activities. Learn and advise on new areas of law as products and services expand. Supervise external counsel. Perform such other duties as assigned by the Head of Municipal Securities Group Legal.

The candidate should have 10+ years of experience in municipal securities Legal and/or Compliance. Should have a JD degree, in good standing with a US State Bar. Experience managing multi-disciplinary teams of professionals. Strong knowledge and understanding of municipal securities laws and rules, including those of the SEC, FINRA, and the MSRB. Experience dealing with the U.S. Securities & Exchange Commission. Proven ability to add value through superior legal advice in a financial services context, including by counseling and generating good ideas for better structuring, risk mitigation, and effective provision of banking services. Practical knowledge of and experience providing advice regarding laws, rules and regulations relating to municipal securities transactions. Familiarity with Securities Act of 1933 and Securities Exchange Act of 1934, as well as MSRB rules and FINRA rules pertaining to fixed income securities. Excellent written and spoken communication, research and strategic thinking abilities. Eager to be part of a thriving and fast-paced large fixed-income business.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Lead Counsel, Ecomm-finance Regulatory Compliance
Refer job# TALS170675
 
Lead Counsel, eComm-Finance Regulatory Compliance The candidate will be providing legal advice and counsel to the company to enhance and maintain initiatives on a range of legal, business and compliance matters, focused on the company's fast developing financial services products. Representing the business with regulatory agencies. Being familiar with financial services and fintech environment, eCommerce, and regulatory compliance programs including experience with U. S. federal and state regulatory regimes in regulatory areas related to eCommerce and financial services platforms such MTL s, MCA s, and other unregulated loan practices. Identifying, prioritizing, and managing risks to the company by engaging and assisting in research and drafting of presentations on legal issues. Reviewing and advising on agreements with various parties to ensure regulatory compliance with legal, contractual, and corporate requirements. Managing outside counsel. Proactively identifying risk and developing mitigation programs and strategies. Assisting on commenting and shaping regulatory developments at key agencies. Successfully collaborating with internal and external stakeholders. Should have 7+ yrs. prior experience in relevant regulatory matters and business compliance programs, in government, in-house, or private practice, particularly related to traditional finance and foundations of lending as well as fintech platforms. Law degree from an accredited law school and 6 years of experience in law. License to practice law in at least one state. Should have 2 years of experience leading cross-functional teams. Driven to execute and to act quickly. Process-minded and look for opportunities to streamline for improved efficiency and effectiveness. Strong communication skills and experience with senior leadership and stakeholders. Enjoy successfully working on cross-functional teams within a corporate environment.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Senior Counsel, Compliance, Ethics & Litigation
Refer job# JMBK170684
 
Senior Counsel, Compliance, Ethics & Litigation the candidate will be responsible for developing and documenting ethics and compliance policies and procedures; will maintain, implement, and manage all training on compliance-related subjects and hot-line processes. Defends, supervises, and manages commercial, trademark, real estate, and employment-related claims and litigation, including managing outside counsel and responding to administrative charges, complaints, attorney's letters, settlement demands, and claims. Negotiate appropriate resolutions to claims and other pending matters. Other litigation matters as required. Assists in developing, implementing, improving, and reviewing legal compliance projects and training. Provides advice and counsel to management and Human Resources professionals on a broad range of employment issues including recruiting; hiring; employee relations; discipline and terminations; leaves of absence; wage and hour compliance; EEO compliance; restrictive covenants; and contingent worker issues as well as guidance on internal HR/compliance investigations. Provides legal support to any compliance investigations and audits, working closely with senior management and human resources to evaluate and respond to suspected compliance violations, and for consistent enforcement, disclosure, and remedial action protocols. Periodically collaborates with colleagues with respect to various commercial contracts and agreements. Reviews and provides input on company policies and procedures. Promotes legal, compliance, and risk management best practices throughout the company. Maintains up-to-date knowledge of changes to legislation, particularly in relation to laws, rules, and regulations that directly affect the business. Researches and anticipates unique legal issues that could impact the company.

The candidate must have a law degree from a recognized university. Must be admitted to a recognized bar. Must have 7+ years of experience gained in a large law firm and/or in-house with a large company. Excellent oral, written, and presentation communication skills. Comfortable presenting to and working with the Executive Leadership team. Excellent relationship-building skills with an ability to prioritize, negotiate and work with a variety of internal and external stakeholders. Keen analytic and problem-solving skills that facilitate sound decision-making related to the financial management of the Company's assets. Strong negotiating skills with both legal and business-minded issues. Ability to work independently with little or no supervision.
 
EMAIL TO COLLEAGUE  PERMALINK
 
 
Deputy Chief Compliance Officer, Assistant General Counsel
Refer job# CREB170690
 
Deputy Chief Compliance Officer, Assistant General Counsel The candidate will be monitoring industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conducting analyses as to how such developments affect the insurance industry. Drafting and maintaining policies, procedures, and training materials to enhance program efficiency and employee understanding, and mitigate related risk. Administering the compliance programs related to the Global Compliance Program (e.g., personal trading, outside business activities, gifts and business entertainment, political contributions, etc.). Overseeing various compliance projects and initiatives related to global program oversight including anti-bribery & corruption, conflicts of interest, data privacy, third-party program management, sanctions, anti-competition and hotline system management. Fielding inquiries from employees and management on compliance matters. Assisting in the annual review of compliance policies and procedures. Assisting on a variety of special projects and initiatives. Working with technology teams (including the creation of spec documents) to develop automated solutions that will enhance the compliance infrastructure. Bachelor's degree is required. Should preferably have 6+ years of experience in compliance in a corporate environment. An advanced degree or certification is preferred. Exceptional organizational skills are needed. Exceptional interpersonal skills and the ability to work with all levels of management are needed. Insurance Company experience is preferred. Should have the ability to create processes that drive efficiency. Creative ability in developing presentations, white papers and talking points. Independently identify, review, and clearly communicate potential issues and propose solutions to various stakeholders across the Firm. Should have proven ability to multi-task, work both independently and as a team player, and able to prioritize tasks in a fast-paced environment.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Associate General Counsel, Compliance
Refer job# SURF170695
 
Associate General Counsel, Compliance The candidate will oversee compliance with U.S. data privacy and applicable laws for Anheuser-Busch, including data collection, transfer and processing. Manage data privacy and regulatory issues with respect to the use of consumer data to promote a portfolio of brands. Advise on key issues of technology strategy from a legal, reputation and technical perspective. Review and advise on proposed state and federal legislation and work with the government affairs team. Identify enterprise-wide risks and conduct risk assessments. Use of data analytics. Work cross-functionally with functions outside of the Legal Department. Develop and refresh policies and training. Take on special projects as needed. Bachelor's Degree and J.D. required. Should have 3 years of experience advising on data privacy matters in an in-house or law firm position. Excellent written and oral communication skills. Exceptional organizational, analytical and interpersonal skills. Excellent presentation skills. Ability to handle multiple tasks with tight deadlines. Project management expertise a plus.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Director, Counsel, Trade Compliance (b6)
Refer job# BRYY170670
 
Director, Counsel, Trade Compliance (B6) The candidate will be serving as the dedicated in-house legal support to the company's global trade function. Continually analyzing the evolving trade laws and regulations applicable to the company, and their impact on strategy and operations. Conducting and advising on trade compliance risk assessments, audits and due diligence reviews. Designing and advising on effective trade compliance policies, operating procedures and technology control plans. Developing and delivering trade compliance training for a variety of audiences. Conducting certain trade compliance-related internal investigations. Overseeing M&A and joint venture risk assessments, due diligence and integration plans. Undertaking special projects and supporting other compliance program initiative. Advising on cross-border transactions and a wide range of international trade compliance matters. Coordinating with external legal counsel, as appropriate, and provide legal advice to the company's global trade function as well as business units and departments. Frequently contacting with internal stakeholders throughout the company's global operations, including senior executives. Juris Doctorate degree and 6-8 years of experience in advising multinational businesses on trade compliance matters, including US export controls, sanctions programs is required. Should have 7-10 years of experience. In-house experience in the semiconductor industry is strongly preferred. Experience in government relations and trade strategy deployment is preferred. Mandarin, Korean, or Japanese skills are highly preferred.
 
EMAIL TO COLLEAGUE  PERMALINK
 
 
Senior Director, Ethics and Compliance Counsel
Refer job# FZEL170602
 
Senior Director, Ethics and Compliance Counsel The candidate will develop and lead the global Anti-Corruption and Anti-Bribery program, including training, communications, risk assessments, controls, reporting and mitigation strategies. Develop and lead the global corporate investigations program, including advice, reporting and develop and enhance program elements that feed into overall Ethics program maturity. Develop and lead third party risk assessments related to ethics and compliance, including risk indicators, due diligence, training and mitigation recommendations. Oversee, conduct and monitor enterprise legal and regulatory risk assessments and manage the risk management application. Liaise with Enterprise Risk Management activities, including providing ethics and compliance guidance for successful implementation of Governance, Risk and Compliance system improvements. Assist with the mapping and documentation of ethics and compliance controls and procedures that drive compliant behavior. Support a variety of Ethics and Compliance Program activities, including data analytics for reporting to a variety of internal stakeholders. Develop and support a global compliance program that incorporates regional support on identification of risks, reports, investigations, communication and overall support at a local level. Develop and oversee the Records Retention Program, working collaboratively with cross-functional teams to assess business and regulatory requirements and develop and implement programs, policies and procedures related thereto. Understand and advise on government compliance issues and develop programs, policies and procedures, where necessary, with respect to Public Sector Business Ethics and Conduct, gifts and gratuities, kickbacks, post-government employment, insider risk, conflicts of interest, whistleblower protection, and other related areas. Understand and advise on US Export Controls and Sanctions and support the trade compliance team on risk assessments, program controls and mitigation efforts. Work closely with US Public Sector Legal Team, and other teams to develop, deliver, and track the annual US Public Sector Compliance training program. Imagine and develop new programs as the Ethics and Compliance Program grows.

The candidate should have 12+ years of relevant corporate or government compliance and ethics experience or the functional equivalent, including experience in the following areas: ethics and compliance program development, government investigations, auditing, control development, policy development, project management, and program analytics. Licensed attorney with a law degree from an accredited university. Self-motivated, with the ability to manage and regularly prioritize workload to meet deadlines and adjust to fluctuations in workload. Possesses a practical, real-world, collaborative approach to problem-solving in the context of enterprise sales with the ability to make sound decisions and exercise good judgment. Ability to remain flexible in a changing business environment. Excellent oral and written communication skills. Working knowledge of compliance programs, solutions, processes, controls and procedures. Demonstrated ability to develop new processes, project manage, develop new programs, problem solve, achieve results and exercise good judgment. Ability to obtain and maintain a US government security clearance at the Top Secret level or above. Familiarity with working with channel partners (distributors, resellers) and related compliance issues. Experience working in a large multinational corporate compliance environment is a plus. Strong critical thinking skills and business acumen. Strong analytical, data reporting and database management skills are a plus. Common sense, great judgment and a good sense of humor.
 
EMAIL TO COLLEAGUE  PERMALINK
 

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