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Financial Services Regulatory Jobs in Mooresville

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United States
Posted On Sep 16, 26
Full-time 15 views Experience : 4-9 yrs required
Practice Area:
Corporate - Contract Law Corporate - Technology Transactions Corporate - M&A Data Privacy - Transactional Tax - M&A and Transactions
Job Tags:
agreements contracts corporate governance Cybersecurity data privacy Data Protection due diligence employee benefits finance Insurance licensing Litigation M&A Partnership Privacy
Practice Area:
Corporate - Contract Law Corporate - Technology Transactions Corporate - M&A Data Privacy - Transactional Tax - M&A and Transactions
Job Tags:
agreements contracts corporate governance Cybersecurity data privacy Data Protection due diligence employee benefits finance Insurance licensing Litigation M&A Partnership Privacy

Title: Sr Corporate Attorney Job Responsibilities: The Senior Corporate Attorney at the company will act as the primary in-house legal resource responsible for various aspects of commercial contracting, NDA management, legal entity governance, and maintaining legal operations hygiene. This role is characterized...

Posted On Sep 05, 26
Full-time 1 views Experience : Min 5 yrs required
Job Tags:
brokers COBRA equity ERISA family finance FMLA HIPAA Insurance LLC Partnership trusts
Job Tags:
brokers COBRA equity ERISA family finance FMLA HIPAA Insurance LLC Partnership trusts

programs to enhance the employee experience and ensure strong governance. This role reports to the Human Resources Manager and collaborates with vendors, Payroll, Finance, and Firm Leadership to deliver accurate, compliant, and timely total rewards services. The specialist manages th......

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... primarily engage in regulatory counseling and compliance advisory... work across a broad spectrum of consumer finance matters. Key responsibilities include: - Providing legal advice and guidance on...

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

Title: Corporate Counsel - Financial Services Job Responsibilities: - Finance, Lending,... 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 on a broad range of commercial matters,...

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

General Counsel – Broker-Dealer Regulatory Compliance Job Responsibilities: -... support for the company's financial services business, offering legal... brokerage and investment advisory activities. - Review, revise, and develop internal policies and procedures in response to business initiatives and regulatory developments...

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...

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

Title: Senior Counsel – Mutual & Private Fund Distribution (Wealth & Investment Management) Job Responsibilities: - Advise on the distribution of mutual funds, ETFs, and other registered products, ensuring compliance with FINRA rules and SEC regulations. - Provide legal support for the distribution...

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,... of fund structures and regulatory matters, such as cross-border... registration, regulatory examinations and enforcement, broker-dealer......

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

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, leasing arrangements, financing, purchase and sale agreements, and handle related regulatory, documentation, and project-related lega......

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. -...

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

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 escalated legal complaints. - Manage matters from initial assessment through resolution, including internal fact development, discove...

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

business. Key responsibilities include: Regulatory Advisory: - Advising on . regulatory frameworks such as Dodd-Frank,... SEC and CFTC rules, Investment Advisers Act, FINRA, and state securities laws. - Monitoring regulatory developments across derivatives, trading,... and advisory, and assessing their impact on business practi...

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

business. - Advise on . regulatory frameworks including Dodd-Frank, SEC... Act, FINRA and state securities laws. - Monitor regulatory developments across derivatives, trading,... and advisory and assess their impact on business practices and documentation. - Provide guidance on cross-border regulatory requirements, including EMI...

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

digital experiences, and system-related matters for product managers, operations partners, and digital execution teams. - Review legislative and regulatory developments and advise business,... compliance, risk, and operations teams on impacts. - Serve as a legal consultant to stakeholders regarding retail and comme...

Posted On Sep 22, 26
Full-time Experience : 2-4 yrs required
Job Tags:
asset management banking Capital Markets construction family finance Financial Institutions hedge funds Insurance Mutual Funds pension private equity Securities spectrum Taxation
Job Tags:
asset management banking Capital Markets construction family finance Financial Institutions hedge funds Insurance Mutual Funds pension private equity Securities spectrum Taxation

Job Title: Financial Services - Tax -... Wealth and Asset Management - Senior Job Responsibilities: As a Senior in the Tax Compliance role within the Wealth & Asset Management practice at the company, you will manage and implement tax compliance strategies, providing...

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

Provide strategic legal counsel, regulatory guidance, and practical business... activities across the company. - Partner closely with Legal, Compliance, Operations, Enterprise Brand, Advertising and Marketing, Enterprise Producer Solutions Operations, and business leaders to support sales practices, third-party distribution relationships, regulatory initiat...

Posted On Sep 18, 26
Full-time 7 views Experience : 2-4 yrs required
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - Financial Services - Defense
Job Tags:
agreements child criminal depositions family Government government enforcement government investigations health benefits Litigation pleadings
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - Financial Services - Defense
Job Tags:
agreements child criminal depositions family Government government enforcement government investigations health benefits Litigation pleadings

law firm's Fintech and Financial Advisory practice, focusing on... assisting clients within the financial services industry with litigation,... government investigations, and enforcement matters. The associate will be expected to: - Manage all stages of litigation discovery and responses to government subpoenas...

Posted On Aug 25, 26
Full-time 1 views Experience : Min 6 yrs required
Job Tags:
Ethics family finance H-1B Profit Sharing wealth management
Job Tags:
Ethics family finance H-1B Profit Sharing wealth management

Financial Services Tax - Real... Estate Senior Manager The candidate will guide clients through the complexities of tax compliance and strategic consulting. Help clients navigate the ever-evolving tax landscape, advising on local and international tax affairs, and providing insights into...

Posted On Aug 25, 26
Full-time 1 views Experience : Min 8 yrs required
Job Tags:
Ethics family finance H-1B Profit Sharing regulatory compliance wealth management
Job Tags:
Ethics family finance H-1B Profit Sharing regulatory compliance wealth management

Job Title Financial Services Tax - Real... compliance and structuring for financial services clients in asset... and wealth management - Analyzing and addressing operational tax risks and implications of investing across jurisdictions - Drafting and reviewing tax documents to validate...

Posted On Jul 21, 26
Full-time 1 views Experience : 2-13 yrs required
Practice Area:
Finance - Financial Services Regulation Fintech & Blockchain Finance - General
Practice Area:
Finance - Financial Services Regulation Fintech & Blockchain Finance - General

law firm seeks a Financial Services Associate in Charlotte... to join their Financial Services group. The ideal... securities laws, advising a diverse range of financial services on fund... structures and regulatory cross-border registration and... regulatory in bro...

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