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Finance Financial Services Regulation Jobs in Mooresville

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United States
Posted On Sep 21, 26
Full-time 1 views Experience : Min 8 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - Banking Finance - General
Job Tags:
agreements banking banking laws Corporation Deferred Compensation digital banking finance financial services regulation fraud Government Insurance payment processing pension Software Truth in Savings Act Visa
Practice Area:
Finance - Financial Services Regulation Finance - Banking Finance - General
Job Tags:
agreements banking banking laws Corporation Deferred Compensation digital banking finance financial services regulation fraud Government Insurance payment processing pension Software Truth in Savings Act Visa

Title: Assistant General Counsel - Deposits Job Responsibilities: - Provide legal guidance and training on consumer and commercial deposit products, debit cards, digital experiences, and system-related matters for product managers, operations partners, and digital execution teams. - Review legislative and regulatory developments and...

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Posted On Sep 03, 26
Full-time 3 views Experience : 10-10 yrs required
Practice Area:
Fintech & Blockchain Finance - Financial Services Regulation Finance - Banking Finance - General Finance - Structured Finance
Job Tags:
agreements blockchain Capital Markets cryptocurrency derivatives developers finance Financial Institutions ISDA lending NYSE partnerships Privacy
Practice Area:
Fintech & Blockchain Finance - Financial Services Regulation Finance - Banking Finance - General Finance - Structured Finance
Job Tags:
agreements blockchain Capital Markets cryptocurrency derivatives developers finance Financial Institutions ISDA lending NYSE partnerships Privacy

Title: Senior Counsel, Transactions (Capital Markets) Job Responsibilities: - Serve as a trusted legal partner to the capital markets business development team, focusing on supporting crypto exchange partnerships, digital asset market maker agreements, and institutional capital markets transactions globally. -...

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Posted On Sep 17, 26
Full-time 2 views Experience : Min 8 yrs required
Practice Area:
Corporate - Compliance Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
Capital Markets finance lease lending Litigation Partnership stage
Practice Area:
Corporate - Compliance Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
Capital Markets finance lease lending Litigation Partnership stage

Title: Assistant General Counsel Job Responsibilities: - Lead and manage external legal matters, providing strategic legal counsel as the company grows and evolves in the consumer-finance business. - Primary responsibility for managing consumer litigation and arbitration, regulatory examinations and investigations, enforcement matters, and...

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Posted On Jun 26, 26
Full-time 8 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
advertising agreements alcohol bylaws children contracts Disability Benefits ETFs FINRA health benefits Insurance investment management marketing Mutual Funds registered investment companies regulatory compliance Securities Act of 1933 Securities Exchange Act of 1934 Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
advertising agreements alcohol bylaws children contracts Disability Benefits ETFs FINRA health benefits Insurance investment management marketing Mutual Funds registered investment companies regulatory compliance Securities Act of 1933 Securities Exchange Act of 1934 Visa

Title: Senior Counsel – Mutual & Private Fund Distribution (Wealth & Investment Management) Job Responsibilities: The role of Senior Counsel involves providing legal support to the Wealth and Investment Management (WIM) division, specifically focusing on the distribution of registered investment...

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Posted On Jul 07, 26
Full-time 1 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
advertising agreements alcohol artificial intelligence banking children Code of Conduct derivatives Disability Benefits ETFs FINRA health benefits Insurance Investment Advisers Act of 1940 investment management marketing Mutual Funds Privacy Securities Act of 1933 Securities Exchange Act of 1934 Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
advertising agreements alcohol artificial intelligence banking children Code of Conduct derivatives Disability Benefits ETFs FINRA health benefits Insurance Investment Advisers Act of 1940 investment management marketing Mutual Funds Privacy Securities Act of 1933 Securities Exchange Act of 1934 Visa

ETFs, and other registered products, ensuring compliance with FINRA rules and SEC regulations. - Provide legal support for the distribution of private funds, including private placements under Regulation D and offshore offerings. -... Draft, review, and negotiate distribution-related agreements, including selling agr...

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Posted On Jul 30, 26
Full-time 3 views Experience : 10-15 yrs required
Practice Area:
Corporate - Contract Law Corporate - Securities and Capital Markets Finance - Financial Services Regulation Finance - Structured Finance Corporate - General Finance - 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:
Corporate - Contract Law Corporate - Securities and Capital Markets Finance - Financial Services Regulation Finance - Structured Finance Corporate - General Finance - 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: Associate General Counsel - Commodities Business Job Responsibilities: - Advise business units and support partners on commodity derivatives, swap dealer and banking regulations, and related risks in a dynamic environment. - Support non-derivative traded products, including physically-settled commodity spot and forward transactions,...

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Posted On Sep 08, 26
Full-time 14 views Experience : Min 10 yrs required
Practice Area:
Corporate - Compliance Corporate - Asset/Investment Management Finance - Financial Services Regulation Fintech & Blockchain Corporate - General Finance - General
Job Tags:
civil litigation due diligence enforcement proceedings Financial Institutions FINRA health benefits hedge funds M&A NASDAQ private equity regulatory compliance securities laws stock options Venture Capital wealth management
Practice Area:
Corporate - Compliance Corporate - Asset/Investment Management Finance - Financial Services Regulation Fintech & Blockchain Corporate - General Finance - General
Job Tags:
civil litigation due diligence enforcement proceedings Financial Institutions FINRA health benefits hedge funds M&A NASDAQ private equity regulatory compliance securities laws stock options Venture Capital wealth management

support for the company's financial services business, offering legal... analysis and advice related to compliance with applicable rules, regulations, and legal risks impacting brokerage and investment advisory activities. - Review, revise, and develop internal policies and procedures in response to...

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Posted On Sep 14, 26
Full-time 3 views Experience : 3-7 yrs required
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Fintech & Blockchain Corporate - General Finance - General
Job Tags:
asset management blockchain Financial Institutions Investment Company Act securities laws
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Fintech & Blockchain Corporate - General Finance - General
Job Tags:
asset management blockchain Financial Institutions Investment Company Act securities laws

Job Title: Associate - Financial Services Group Job Responsibilities: - The... will work within the Financial Services group, providing legal... counsel and advice to financial services firms, asset managers,... and investment funds. - Duties include advising on a variety of fund structures and...

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Posted On Sep 17, 26
Full-time 3 views Experience : Max 3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General Finance - Financial Services Regulation Finance - General
Job Tags:
agreements asset management derivatives family FINRA H-1B Insurance ISDA regulatory compliance securities laws shareholders Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - General Finance - Financial Services Regulation Finance - General
Job Tags:
agreements asset management derivatives family FINRA H-1B Insurance ISDA regulatory compliance securities laws shareholders Visa

Title: Attorney Job Responsibilities: The attorney will join the Legal Department to provide broad legal support for the company's asset management business. Key responsibilities include: Regulatory Advisory: - Advising on . regulatory frameworks such as Dodd-Frank, SEC and CFTC rules, Investment Advisers Act, FINRA,...

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Posted On Sep 17, 26
Full-time 4 views Experience : Max 3 yrs required
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements asset management derivatives family FINRA H-1B Insurance ISDA regulatory compliance securities laws shareholders Visa
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements asset management derivatives family FINRA H-1B Insurance ISDA regulatory compliance securities laws shareholders Visa

Title: Associate Counsel Job Responsibilities: - Provide broad legal support for the company's asset management business. - Advise on . regulatory frameworks including Dodd-Frank, SEC and CFTC rules, Investment Advisers Act, FINRA and state securities laws. - Monitor regulatory developments across derivatives, trading, and...

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Posted On Aug 26, 26
Full-time 1 views Experience : 10-10 yrs required
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Finance - Financial Services Regulation Finance - General
Job Tags:
advertising agreements Broker Dealer contracts distribution agreements employee benefits financial products FINRA Insurance licensing marketing Partnership
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Finance - Financial Services Regulation Finance - General
Job Tags:
advertising agreements Broker Dealer contracts distribution agreements employee benefits financial products FINRA Insurance licensing marketing Partnership

Title: AVP, Sr. Counsel, Broker-Dealer and Investment Advisor Job Responsibilities: - Provide strategic legal counsel, regulatory guidance, and practical business support for distribution-related activities across the company. - Partner closely with Legal, Compliance, Operations, Enterprise Brand, Advertising and Marketing, Enterprise Producer Solutions Operations,...

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Posted On Sep 04, 26
Full-time 3 views Experience : 6-12 yrs required
Practice Area:
Finance - Financial Services Regulation Fintech & Blockchain Finance - General
Job Tags:
agreements banking laws blockchain Foreign Exchange Government GPS Litigation regulatory compliance security agreements shareholders
Practice Area:
Finance - Financial Services Regulation Fintech & Blockchain Finance - General
Job Tags:
agreements banking laws blockchain Foreign Exchange Government GPS Litigation regulatory compliance security agreements shareholders

business, focusing on legal, regulatory, and commercial matters related to GPS products and services. - Review and negotiate legal... documents, customer-facing documentation, and commercial agreements. - Interpret laws and regulations, perform legal research, and communicate legal advice to internal partners. - Direct t...

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Posted On Jul 15, 26
Full-time 1 views Experience : 2-5 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Practice Area:
Finance - Financial Services Regulation Finance - General

Title: Experienced Attorney - Financial Services Group Job Responsibilities: - Join... the Financial Services group within the... to deliver high-quality legal services to clients. - Demonstrate excellent... communication skills in interactions with both clients and team members. - Commit to providing outstanding service and...

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Posted On Sep 16, 26
Full-time 1 views Experience : 3-5 yrs required
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - Consumer Finance- Defense Litigation - Financial Services - Defense Finance - Financial Services Regulation Finance - General
Job Tags:
banking consumer finance consumer protection Consumer Protection Laws debt collection Financial Institutions financial services regulatory government investigations lending licensing UDAAP
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - Consumer Finance- Defense Litigation - Financial Services - Defense Finance - Financial Services Regulation Finance - General
Job Tags:
banking consumer finance consumer protection Consumer Protection Laws debt collection Financial Institutions financial services regulatory government investigations lending licensing UDAAP

Job Title: Consumer Financial Services Regulatory Associate Job Responsibilities: The... Consumer Financial Services Regulatory Associate will... broad spectrum of consumer finance matters. Key responsibilities include: -... Providing legal advice and guidance on federal and state consumer protection laws as they relate to credit...

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Posted On Sep 14, 26
Full-time 2 views Experience : 8-8 yrs required
Practice Area:
Corporate - M&A Corporate - Securities and Capital Markets Corporate - General Corporate - Contract Law Finance - Structured Finance Finance - Banking Finance - General
Job Tags:
Article 9 banking Capital Markets Commercial Finance criminal Data Protection Deferred Compensation equity family finance financial products Insurance Joint Ventures lending licensing Litigation Partnership partnerships Privacy regulatory compliance Secured lending Securities securitization Syndication title UCC Workouts
Practice Area:
Corporate - M&A Corporate - Securities and Capital Markets Corporate - General Corporate - Contract Law Finance - Structured Finance Finance - Banking Finance - General
Job Tags:
Article 9 banking Capital Markets Commercial Finance criminal Data Protection Deferred Compensation equity family finance financial products Insurance Joint Ventures lending licensing Litigation Partnership partnerships Privacy regulatory compliance Secured lending Securities securitization Syndication title UCC Workouts

- Financial Services Job Responsibilities: - Finance, Lending, and Strategic Transactions:... Support commercial finance, secured lending, dealer and... documentation, workouts, restructurings, customer-facing financial products, and strategic transactions,... including new business models, joint ventures, and strategic partnerships. - Commercial Contracting and Operational Support: Advise...

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Posted On Jul 07, 26
Full-time 3 views Experience : 4-8 yrs required
Practice Area:
Finance - Banking Fintech & Blockchain Finance - General
Job Tags:
agreements alcohol artificial intelligence banking banking laws children Code of Conduct derivatives Disability Benefits equity health benefits Insurance investment management Privacy Visa wealth management
Practice Area:
Finance - Banking Fintech & Blockchain Finance - General
Job Tags:
agreements alcohol artificial intelligence banking banking laws children Code of Conduct derivatives Disability Benefits equity health benefits Insurance investment management Privacy Visa wealth management

Title: Assistant General Counsel, Executive Director: Wealth Banking, Cash Management & Digital Assets Job Responsibilities: The Assistant General Counsel, Executive Director, is responsible for leading the legal team that supports Wealth Banking, Cash Management, and Digital Assets at the company. Key...

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Posted On Jul 08, 26
Full-time 3 views Experience : 4-8 yrs required
Practice Area:
Finance - Banking Fintech & Blockchain Finance - General
Job Tags:
agreements alcohol artificial intelligence banking banking laws children Code of Conduct derivatives Disability Benefits equity health benefits Insurance investment management Privacy Visa wealth management
Practice Area:
Finance - Banking Fintech & Blockchain Finance - General
Job Tags:
agreements alcohol artificial intelligence banking banking laws children Code of Conduct derivatives Disability Benefits equity health benefits Insurance investment management Privacy Visa wealth management

wealth banking and digital assets. - Advise senior business leaders on strategic initiatives, product development, and regulatory matters. - Provide legal counsel on banking laws and regulations, including Regulations E, CC, and DD, as well as digital asset regulation. - Oversee the...

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Posted On Aug 03, 26
Full-time 1 views
Practice Area:
Finance - Banking Finance - General
Job Tags:
banking domestic partner financial products mother Privacy Women
Practice Area:
Finance - Banking Finance - General
Job Tags:
banking domestic partner financial products mother Privacy Women

Title: Attorney - Global Banking Job Responsibilities: The Attorney - Global Banking position entails a range of responsibilities primarily focused on providing legal support and guidance within the banking sector. The attorney will be expected to: - Provide legal advice and support...

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Posted On Aug 19, 26
Full-time 2 views Experience : Min 4 yrs required
Practice Area:
Finance - Banking Finance - General
Job Tags:
agreements banking Commercial Finance Government security agreements shareholders syndicated credit agreements
Practice Area:
Finance - Banking Finance - General
Job Tags:
agreements banking Commercial Finance Government security agreements shareholders syndicated credit agreements

legal counsel on products, services, regulatory matters, and commercial... credit transactions to support the Commercial Banking business. - Structure, negotiate, and advise on commercial credit arrangements. - Offer specific advice regarding the commercial legal framework. - Partner with business, risk, compliance, and legal...

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Posted On Aug 09, 26
Full-time 33 views Experience : 1-12 yrs required
Practice Area:
Finance - General Finance - Structured Finance Corporate - M&A Corporate - Private Equity
Practice Area:
Finance - General Finance - Structured Finance Corporate - M&A Corporate - Private Equity

OverviewA law firm seeks an experienced transactional attorney to join its dynamic investment transactions team. This role involves representing capital providers in a range of debt and equity investment activities, including structured lending, alternative investment vehicles, and private equity transactions....

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