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United States
Posted On Sep 08, 26
Full-time Experience : Min 4 yrs required
Job Tags:
Affirmative Action Capital Markets developers employee benefits finance Financial Institutions FINRA Investment Banking licensing Securities Visa
Job Tags:
Affirmative Action Capital Markets developers employee benefits finance Financial Institutions FINRA Investment Banking licensing Securities Visa

Title: Control Room Associate Job Responsibilities: The Control Room Associate is responsible for supporting the day-to-day management of the company's Control Room (CR) and Registration programs. This includes implementing and maintaining a compliance framework to identify, assess, and mitigate regulatory risks related...

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Posted On Aug 24, 26
Full-time Experience : Min 5 yrs required
Practice Area:
Corporate - Securities and Capital Markets Finance - Financial Services Regulation Finance - General Corporate - General
Job Tags:
agreements children derivatives Disability Benefits equity finance FINRA health benefits hedge funds Insurance Securities swaps Visa
Practice Area:
Corporate - Securities and Capital Markets Finance - Financial Services Regulation Finance - General Corporate - General
Job Tags:
agreements children derivatives Disability Benefits equity finance FINRA health benefits hedge funds Insurance Securities swaps Visa

Title: Assistant General Counsel, VP - Equity Finance Job Responsibilities: - Serve as a legal advisor to senior leaders in the Equity Finance business. - Advise on the negotiation and documentation of prime brokerage agreements and equity swap master confirmation agreements with institutional...

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Posted On Aug 17, 26
Full-time 2 views Experience : 4-10 yrs required
Practice Area:
Corporate - Compliance Corporate - Contract Law Corporate - General
Job Tags:
actors agreements artificial intelligence Corporate Law Corporation criminal derivatives finance financial products ISDA lending licensing LLC Privacy regulatory compliance swaps title Visa
Practice Area:
Corporate - Compliance Corporate - Contract Law Corporate - General
Job Tags:
actors agreements artificial intelligence Corporate Law Corporation criminal derivatives finance financial products ISDA lending licensing LLC Privacy regulatory compliance swaps title Visa

Title: Member of Legal, Corporate & Commercial Counsel Job Responsibilities: - Serve as the firm's primary subject matter expert on CFTC and NFA firm-level licensing, guiding the business through the end-to-end registration lifecycle and the evolving regulatory landscape of the Commodity Exchange...

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Posted On Sep 11, 26
Full-time 7 views Experience : Min 3 yrs required
Job Tags:
credit agreements criminal developers equity finance financial products Government Immigration Insurance marketing partnerships private equity securitization Software swaps Taxation
Job Tags:
credit agreements criminal developers equity finance financial products Government Immigration Insurance marketing partnerships private equity securitization Software swaps Taxation

Title: Tax Senior Job Responsibilities: As a Tax Senior in the Tax Services department at the company, the candidate will be responsible for managing relationships, ensuring timely reporting of milestone and dependency status, monitoring risks and issues to escalate, and executing day-to-day...

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Posted On Sep 11, 26
Full-time 14 views Experience : Min 3 yrs required
Job Tags:
credit agreements criminal developers equity finance financial products Government Immigration Insurance marketing partnerships private equity securitization Software swaps Taxation
Job Tags:
credit agreements criminal developers equity finance financial products Government Immigration Insurance marketing partnerships private equity securitization Software swaps Taxation

Title: Tax Senior Job Responsibilities: As a Tax Senior within the Tax Services department at the company, you will be responsible for a range of duties that encompass managing relationships, ensuring timely reporting of milestone and dependency status, monitoring risks and issues...

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Posted On Sep 10, 26
Full-time 6 views Experience : 4-4 yrs required
Job Tags:
company policies criminal derivatives family Insurance Securities swaps Taxation
Job Tags:
company policies criminal derivatives family Insurance Securities swaps Taxation

Title: Mutual Fund Tax RIC - Manager Job Responsibilities: - Review and provide oversight of tax provision and distribution work papers for Regulated Investment Companies (RIC). This includes the review of RIC fiscal and excise tax provision work papers, financial statement disclosures,...

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Posted On Sep 10, 26
Full-time 6 views Experience : Max 4 yrs required
Job Tags:
company policies criminal derivatives family Insurance Securities swaps Taxation
Job Tags:
company policies criminal derivatives family Insurance Securities swaps Taxation

Companies (RIC), including reviewing RIC fiscal and excise tax provision work papers, financial statement disclosures, and annual book-to-tax adjustment analysis by examining the taxability of investment income/expenses, securities transactions, and complex derivatives such as futures, options, and swaps. - Pre...

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Posted On Sep 10, 26
Full-time 3 views Experience : 4-4 yrs required
Job Tags:
company policies criminal derivatives family Insurance Securities swaps Taxation
Job Tags:
company policies criminal derivatives family Insurance Securities swaps Taxation

(RIC). This includes assessing RIC fiscal and excise tax provision work papers, financial statement disclosures, and annual book-to-tax adjustment analysis by evaluating the taxability of investment income/expenses, securities transactions, and complex derivatives such as futures, options, and swaps. - Prepare incom...

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Posted On Sep 10, 26
Full-time 11 views Experience : 3-6 yrs required
Practice Area:
Corporate - M&A Corporate - Private Equity Corporate - Securities and Capital Markets Corporate - General
Job Tags:
acquisitions asset purchase agreements Capital Markets credit agreements derivatives employee benefits equity finance Investment Banking LLC M&A mergers restructuring Securities securities laws swaps
Practice Area:
Corporate - M&A Corporate - Private Equity Corporate - Securities and Capital Markets Corporate - General
Job Tags:
acquisitions asset purchase agreements Capital Markets credit agreements derivatives employee benefits equity finance Investment Banking LLC M&A mergers restructuring Securities securities laws swaps

Title: Legal Counsel Job Responsibilities: The Legal Counsel is responsible for managing various operational and legal risks related to structured fixed income transactions, including deal contingent hedges. The principal accountabilities include: - Providing legal support to Company and its affiliated . and ....

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Posted On Sep 08, 26
Full-time 9 views Experience : Min 6 yrs required
Practice Area:
Data Privacy - Transactional
Job Tags:
corporate compliance Data Protection equity M&A
Practice Area:
Data Privacy - Transactional
Job Tags:
corporate compliance Data Protection equity M&A

Title: Associate General Counsel of Compliance Job Responsibilities: - Global Compliance Advice: Provide expert counsel to business stakeholders on various global compliance issues, such as data privacy and security, anti-corruption, sanctions, whistleblowing, and third-party risk management. - Internal Investigations and Reporting: Lead internal...

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Posted On Sep 08, 26
Full-time 8 views Experience : 4-6 yrs required
Practice Area:
Fintech & Blockchain Finance - Banking Finance - General
Job Tags:
agreements artificial intelligence asset management blockchain contracts derivatives developers Energy equity family finance Hardware hedge funds Investment Banking ISDA lending ordinances Partnership Software special projects
Practice Area:
Fintech & Blockchain Finance - Banking Finance - General
Job Tags:
agreements artificial intelligence asset management blockchain contracts derivatives developers Energy equity family finance Hardware hedge funds Investment Banking ISDA lending ordinances Partnership Software special projects

Title: Senior Counsel Job Responsibilities: - Serve as a strategic legal advisor for the company, focusing on market and derivative-related transaction matters. - Provide advice on ISDAs/CSAs, confirmations, prime brokerage agreements, lending, and vendor transactions. - Act as an advisor on swap dealer-related rules...

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Posted On Aug 17, 26
Full-time 28 views Experience : Min 12 yrs required
Job Tags:
brokers Capital Markets derivatives Domestic Violence family financial products Harassment hedge funds Insurance Mutual Funds Partnership private equity Securities swaps Taxation
Job Tags:
brokers Capital Markets derivatives Domestic Violence family financial products Harassment hedge funds Insurance Mutual Funds Partnership private equity Securities swaps Taxation

Title: Tax Partner - Capital Markets - Financial Services Job Responsibilities: As a Tax Partner within the Capital Markets practice, you will work on a variety of capital market clients, focusing on the taxation of financial products and investment vehicles....

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Posted On Aug 06, 26
Full-time 1 views Experience : 5-8 yrs required
Job Tags:
Americans with Disabilities Act board of directors cryptocurrency derivatives EEOC equity finance Privacy regulatory compliance Securities Software swaps
Job Tags:
Americans with Disabilities Act board of directors cryptocurrency derivatives EEOC equity finance Privacy regulatory compliance Securities Software swaps

Title: Compliance Officer for the Swap Dealer & Security-Based Swap Dealer Job Responsibilities: - Regulatory Compliance: Ensure compliance with relevant regulations such as the Dodd-Frank Act, Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC) regulations, National Futures Association (NFA)...

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Posted On Aug 12, 26
Full-time 1 views Experience : 2-5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
40 Act agreements asset management derivatives equity ETFs Ethics Insurance investment management ISDA licensing marketing SEC filings stage startup swaps trusts
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
40 Act agreements asset management derivatives equity ETFs Ethics Insurance investment management ISDA licensing marketing SEC filings stage startup swaps trusts

Title: ETF + RIA Legal Job Responsibilities: - Own the SEC filing lifecycle across all company ETF trusts: N-1A, 485A, 485(b), N-PORT, N-CEN, proxy statements, and annual updates. - Draft, review, and negotiate prospectus and SAI disclosure for new fund launches and ongoing...

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Posted On Aug 05, 26
Full-time 2 views Experience : 5-10 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Contract Law Corporate - Compliance Corporate - General
Job Tags:
banking Bankruptcy derivatives equity finance Investment Banking investment management ISDA Securities swaps title wealth management
Practice Area:
Corporate - Securities and Capital Markets Corporate - Contract Law Corporate - Compliance Corporate - General
Job Tags:
banking Bankruptcy derivatives equity finance Investment Banking investment management ISDA Securities swaps title wealth management

products. The primary focus will be on OTC equity derivatives and swaps, cash and synthetic prime... brokerage, equity and fund-linked loans, structured notes, and proprietary indices. - Advise and assist in the creation, structuring, regulatory analysis, and launch of new pr...

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Posted On Aug 04, 26
Full-time Experience : 4-4 yrs required
Practice Area:
Administrative Law Government - General
Job Tags:
actors agreements artificial intelligence Corporate Law Corporation criminal derivatives finance financial products ISDA lending licensing LLC Privacy regulatory compliance swaps title Visa
Practice Area:
Administrative Law Government - General
Job Tags:
actors agreements artificial intelligence Corporate Law Corporation criminal derivatives finance financial products ISDA lending licensing LLC Privacy regulatory compliance swaps title Visa

Title: Member of Legal, Trading & Licensing Job Responsibilities: - Serve as the primary legal expert on the Commodity Exchange Act (CEA) and NFA Rules, advising the company on the obligations associated with being a licensed firm. - Lead the end-to-end strategy for...

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Posted On Aug 03, 26
Full-time Experience : 10-15 yrs required
Practice Area:
Tax - International Tax-General Practice (Transaction) Tax - General
Job Tags:
agreements AML Bank Secrecy Act banking Capital Markets derivatives equity Ethics family FCPA FINRA Foreign Exchange Insurance ISDA leasing OFAC pension purchase and sale agreements stage swaps
Practice Area:
Tax - International Tax-General Practice (Transaction) Tax - General
Job Tags:
agreements AML Bank Secrecy Act banking Capital Markets derivatives equity Ethics family FCPA FINRA Foreign Exchange Insurance ISDA leasing OFAC pension purchase and sale agreements stage swaps

Title: Attorney - Capital Markets Legal Team Job Responsibilities: - Advise business units and support partners on commodity derivatives, relevant swap dealer and banking regulations, and related risks in a fast-paced environment. - Support non-derivative traded products, including physically-settled commodity spot and forward...

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Posted On Aug 03, 26
Full-time 1 views Experience : Min 7 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
agreements derivatives Energy International Law Securities
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
agreements derivatives Energy International Law Securities

Title: Financial Regulatory Lawyer Job Responsibilities: - Provide advice and ensure that regulated businesses comply with their regulatory and commercial obligations. - Offer legal support and advice to various internal stakeholders, including business, operations, compliance, risk, and sales and marketing teams. - Assist in...

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Posted On Jul 31, 26
Full-time 2 views Experience : 3-6 yrs required
Practice Area:
Corporate - M&A Corporate - Securities and Capital Markets Finance - Structured Finance Finance - Banking Corporate - General Finance - General
Job Tags:
acquisitions asset purchase agreements Capital Markets credit agreements derivatives employee benefits equity finance Investment Banking LLC M&A mergers restructuring Securities securities laws swaps
Practice Area:
Corporate - M&A Corporate - Securities and Capital Markets Finance - Structured Finance Finance - Banking Corporate - General Finance - General
Job Tags:
acquisitions asset purchase agreements Capital Markets credit agreements derivatives employee benefits equity finance Investment Banking LLC M&A mergers restructuring Securities securities laws swaps

& acquisitions, structured notes, and other structured cash and derivatives products, as well as Fixed Income business lines on transactional, regulatory, and general legal matters. - Advise on deal-contingent hedges and related swaps. - Analyze merger and acquisition-related... materials, including asset purchas...

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Posted On Jul 31, 26
Full-time 1 views Experience : Min 10 yrs required
Practice Area:
Finance - Structured Finance Finance - General
Job Tags:
agreements Capital Markets credit agreements derivatives employee benefits equity finance FINRA Investment Banking lending M&A restructuring Securities swaps
Practice Area:
Finance - Structured Finance Finance - General
Job Tags:
agreements Capital Markets credit agreements derivatives employee benefits equity finance FINRA Investment Banking lending M&A restructuring Securities swaps

margin lending, equity repo (bi-lateral and tri-party), securities lending, and delta-one equity swaps. - Offer legal guidance on... margin lending regulations, FINRA, Regulation T, and Regulation U compliance. - Provide guidance on Dodd-Frank and rules applicable to Security-Based Swaps (SBS) and Securit...

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