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agency attorney ii, compliance & enforcement

assistant general counsel, corporate Jobs in New York United States

assistant general counsel, corporate

assistant general counsel corporate securities

Tilray

<div><p><b>Assistant General Counsel, Corporate &amp; Securities</b><br>
<b>(On-site; NYC, NY)</b></p>
<div><b><i>About Tilray Brands Inc.</i></b><br>
Tilray Brands, Inc. (&ldquo;Tilray&rdquo;) (Nasdaq: TLRY; TSX: TLRY), is a leading global lifestyle and consumer packaged goods company with operations in Canada, the United States, Europe, Australia, and Latin America that is leading as a transformative force at the nexus of cannabis, beverage, wellness, and entertainment, elevating lives through moments of connection. Tilray&rsquo;s mission is to be a leading premium lifestyle company with a house of brands and innovative products that inspire joy, wellness and create memorable experiences. Tilray&rsquo;s unprecedented platform supports over 40 brands in over 20 countries, including comprehensive cannabis offerings, hemp-based foods, and craft beverages.</div>
<div></div><div><div><div><i>Looking to develop your career at the forefront of a rapidly expanding industry?</i></div>
</div>
</div><p><b>Job Summary:</b><br>
We are seeking an attorney that is highly competent, detail-oriented, proactive, a self-starter and a team player to serve as Assistant General Counsel, Corporate &amp; Securities in our NYC office (Park Avenue). This position reports directly to the Global General Counsel.</p>
<div><b>Compensation Package: Base salary of $225,000&ndash;$275,000 annually plus eligibility for cash bonuses and equity incentives.</b></div>
<p>This attorney will be the lead securities and corporate counsel for issuer-side securities reporting (&rsquo;33 Act and &rsquo;34 Act). This position will be responsible for ensuring compliance with securities laws, rules and regulations, including supporting the preparation and filing of Forms 8-K, 10-Q and 10-K, Section 16 reports, annual proxy statements and related filings. In addition, this position will be responsible for supporting M&amp;A and financing activities. This work includes drafting, negotiating and reviewing asset and stock purchase/sale agreements, joint venture and other strategic partnership-related documents, coordinating and overseeing due diligence activities and working closely with the Company&rsquo;s M&amp;A team. This position will also have responsibility for coordinating and completing all SEC filings related to M&amp;A and financing activities.</p>
<p><b>Roles and Responsibilities:</b></p>
<h3 class="jobSectionHeader"><b>Securities Compliance</b></h3>
<ul><li>Ensure compliance with securities laws, rules and regulations (including SEC, Nasdaq, and, where applicable, cannabis industry regulations)</li>
<li>Prepare and file Forms 8-K, 10-Q and 10-K, registration statements, proxy statements and all related filings</li>
<li>Lead preparation for the annual shareholders meeting</li>
<li>Review, advise and assist with filing/publishing quarterly earnings releases, investor presentations, quarterly and annual reports and other public communications</li>
</ul><div>Mergers &amp; Acquisitions</div>
<ul><li>Draft and negotiate asset and stock purchase/sale agreements, joint venture and partnership agreements and other strategic partnership-related documents</li>
<li>Oversee and coordinate due diligence activities, NDAs</li>
<li>Provide risk-aware, actionable legal advice on M&amp;A projects and initiatives</li>
</ul><div>General</div>
<ul><li>Collaborate with and provide support to the Global General Counsel and other members of Tilray&rsquo;s legal team</li>
<li>Manage work of outside counsel and efficient and cost-effective support</li>
<li>Support the continuous improvement of legal processes to promote efficiency</li>
<li>Contribute positively to the culture of Tilray&rsquo;s legal team and the company as a whole</li>
</ul>
<p><b>Qualifications and Educational Requirements:</b></p>
<ul><li>Law Degree from a top tier U.S. law school</li>
<li>Minimum 5-10 years of experience working in a top tier law firm and/or in-house legal department</li>
<li>Significant experience managing securities, corporate governance and corporate finance matters at a large law firm or global public corporation.</li>
<li>Deep familiarity and experience with SEC/Nasdaq rules and filings and other M&amp;A-related rules and regulations</li>
<li>Experience in supervising and coordinating outside legal counsel and other advisors</li>
<li>Experience and knowledge in risk management and evaluation</li>
<li>Cannabis industry experience (preferred, but not required)</li>
</ul><div><b>Who You Are:</b></div>
<div><ul><li>Exceptional communicator with proven ability to facilitate discussions and issue resolution among key business leaders</li>
<li>Strong analytic skills and business acumen with an understanding of financial metrics and P&amp;L fundamentals</li>
<li>Excited to work in a fast paced and intellectually challenging environment</li>
<li>Ability to manage multiple projects at once, to synthesize information from multiple sources, and to follow through and meet deadlines</li>
<li>Exceptional judgment with the ability to cope with competing priorities</li>
<li>Resourceful and creative in your approach to problem solving</li>
<li>Exceptional written and oral communication skills, including ability to brief and communicate complex issues in a succinct manner</li>
<li>Focused on pragmatic business advice and solutions</li>
<li>Professional and collaborative with the ability to build and maintain trusted relationships with key stakeholders</li>
<li>Positive &ldquo;can-do&rdquo; attitude</li>
</ul></div><div>Tilray welcomes applications from all qualified individuals and is committed to employment equity and diversity in the workplace.</div>
<div><br>
Accommodations are available for applicants with disabilities throughout the recruitment process. If you require accommodations for interviews or other meetings, please advise when submitting your application.</div>
<div></div><div>Please note that Tilray does not authorize, engage, or sponsor any consultants, agencies or organizations that seek certain personal or financial information from you (e.g. passwords, login ids, credit card information). Tilray does not charge any application, processing or onboarding fee at any stage of the recruitment or hiring process. When replying to emails, please ensure the sender name and email address match exactly. Please also ensure the Reply-To address matches the sending address exactly.</div></div>

Assistant General Counsel, Corporate & Securities

Vita Coco

<div><p>The Vita Coco Company, created in 2004 by Co-CEO Michael Kirban and Ira Liran, produces the leading brand of coconut water in the United States with a growing presence around the world.</p>
<p>In 2021, The Vita Coco Company became a publicly traded, Public Benefit Corporation. With a growing portfolio of natural products, The Vita Coco Company has identified its public benefit purpose as creating ethical, sustainable products that uplift communities and do right by our planet by harnessing and protecting nature's resources.</p>
<p>In 2022, The Vita Coco Company was certified as a B Corporation&trade; furthering the Company's commitment toward operating its business as a force for good, while delivering better-for-you products.</p>
<p>Vita Coco is headquartered in New York City with international offices in London and Singapore. The Company is Nasdaq-listed under ticker symbol COCO.</p><br>
<p>Reporting to the General Counsel and Corporate Secretary (&ldquo;General Counsel&rdquo;), the <b>Assistant General Counsel</b> will be a key member of the Legal Team, supporting the team's execution of the Company's strategies, and assisting with corporate governance, securities laws and the obligations of the Company as a public company including equity management. The role involves acting in collaboration with members of the Leadership Team, the Finance Group and many other partners within the Company.
</p><p>The job is a unique opportunity for a lawyer to be part of an entrepreneurial leadership team and participate in business decisions for a small international company in a fast-paced growth environment. This position will be based in our <b>NYC headquarters (3 day in-office requirement).
</b></p><p><b>Main Responsibilities:</b></p>
<ul><li>Legal review and preparation of public company disclosure submissions, including SEC securities filings, such as proxy statements, Forms 10-K, 10-Q, 8-K, and Section 16 filings, 10b5-1 plans, collaborating closely with Finance and other groups within the Company.</li></ul>
<ul><li>Ensure compliance with U.S. securities laws and exchange listing rules and other applicable requirements.
</li></ul><ul><li>Assist with corporate governance requirements and counsel on best practices.
</li></ul><ul><li>Drafting, analyzing and negotiating complex and routine commercial contracts, including marketing (including influencer, promotion and independent contractors), master services, supply chain, distribution, non-disclosure, and licensing and other technology agreements.
</li></ul><ul><li>Create and manage policies and procedures relating to public company matters, including equity trading, Regulation FD, Section 16, FCPA, antitrust and disclosure committee policies.</li></ul>
<ul><li>Stay up to date on securities and Delaware law trends and educate internal teams as needed.
</li></ul><ul><li>Provide support to the Company's Board of Directors and Board Committee members and assist with the preparation of Board and Committee meeting materials.
</li></ul><ul><li>Review and assist with ESG-related legal requirements and disclosures.</li></ul>
<ul><li>Oversee subsidiary management, including ensuring the satisfaction of governance and local requirements.
</li></ul><ul><li>Support equity management program.
</li></ul><ul><li>Manage transactions such as entry into credit agreements and securities offerings.
</li></ul><ul><li>Counseling on both the business and legal ramifications of significant Company strategic imperatives, including possible mergers and acquisitions, dispositions, joint ventures and investments.</li></ul>
<ul><li>Assist with due diligence and drafting and negotiation of legal agreements in connection with mergers and acquisitions, dispositions, joint ventures and investments.</li></ul>
<ul><li>Active participation as a key member of the Legal Team in the resolution of a broad range of legal and business issues, working with multiple departments across the Company.</li></ul>
<ul><li>Manage outside counsel and help manage department budget and forecast.</li></ul>
<ul><li>Ensuring that the Company's management and Board are advised of any new legislation or regulation which may significantly affect the Company.</li></ul>
<p><b>Qualifications, Skills, Knowledge &amp; Experience:</b>
</p><p>The Assistant General Counsel must be an experienced lawyer with the legal background, commercial orientation and interpersonal skills sufficient to provide strong legal and compliance support at a public company, while being a team player and operating effectively in a fast-paced entrepreneurial environment. They will be a person of high integrity, judgment, and business acumen who is collaborative and comfortable working with colleagues at every level of the organization. They will have experience in public company corporate and securities matters and corporate transactions (including M&amp;A). They will be comfortable rolling up their sleeves and digging in on the day-to-day legal requirements as part of a small internal legal team, knowing when to execute internally or to outsource as needed.</p>
<p>In terms of a specific profile, it would be most desirable if the candidate has the following background:</p>
<ul><li>Law degree from an accredited U.S. law school and be a member of a state bar.
</li></ul><ul><li>Law firm experience with substantial exposure to corporate &amp; securities law.
</li></ul><ul><li>Experience in a publicly held corporation with a global business.</li></ul>
<ul><li>Knowledge of SEC filing requirements, the 1933 Act, the 1934 Act, Nasdaq rules, and Delaware corporate law.
</li></ul><ul><li>Experience counseling senior management on legal matters, including the securities and corporate governance requirements of a public company.</li></ul>
<ul><li>Mergers and acquisitions and strategics transactions experience.</li></ul>
<ul><li>Experience assessing and mitigating legal risk.
</li></ul><ul><li>Works well in a multidisciplinary team environment. Demonstrated ability to cooperate with and relate to company personnel at all corporate and operating levels.</li></ul>
<ul><li>Experience working in a hands-on legal role within a small multi-functional legal department, while managing external counsel.</li></ul>
<ul><li>Brings a pragmatic and balanced approach.</li></ul>
<ul><li>A strong work ethic, with a sense of urgency, honesty and fairness.</li></ul>
<ul><li>Strong project management and organizational skills</li></ul>
<p><i>At The Vita Coco Company, compensation decisions are dependent upon a variety of factors, which may include, but are not limited to: skill set, experience, education, training, licensure and certifications, knowledge and abilities of the applicant, alignment with market data, and other business and organizational needs. A reasonable estimate of the current pay range for this position is $150,000 - $200,000. This range may vary for positions that will be performed outside of California, Colorado, Nevada, New York City, Westchester County, NY, Rhode Island, or Washington.</i></p>
<p><i>The Vita Coco Company is committed to the principles of equal employment. We are committed to complying with all federal, state, and local laws providing equal employment opportunities, and all other employment laws and regulations. It is our intent to maintain a work environment that is free of harassment, discrimination, or retaliation because of age, race, religion, color, national origin, gender, sex, sexual orientation (including transgender status, gender identity or expression), physical or mental disability, genetic information, marital status, AIDS/HIV status, military service, veteran status, or any other status protected by federal, state, or local laws. The Company is dedicated to the fulfillment of this policy in regard to all aspects of employment, including but not limited to recruiting, hiring, placement, transfer, training, promotion, rates of pay, and other compensation, termination, and all other terms, conditions, and privileges of employment.</i></p></div>

Assistant General Counsel, Corporate

Latham & Watkins LLP

<div><h2 class="jobSectionHeader"><b>About Latham &amp; Watkins
</b></h2><div><div><div>Latham &amp; Watkins is one of the world&rsquo;s leading global law firms advising the businesses and institutions that drive the global economy. We are the market leaders in major financial and business centers globally and offer unmatched expertise and resources to help you grow from an intellectually curious self-starter into an exceptional lawyer. If you aspire to be the best, this is where you belong.
</div></div></div><h2 class="jobSectionHeader"><b>About the Practice Group
</b></h2><div><div><div>Latham&rsquo;s White Collar Defense &amp; Investigations Practice has earned a global reputation for consistently handling the most complex, highest-stakes investigations, trials, and enforcement matters.<br>
<br>
With a formidable roster of experienced defense lawyers, many of whom were senior prosecutors or government officials, we regularly navigate and resolve high-profile investigations on behalf of a wide range of corporations, financial institutions, boards of directors, and individuals. With a presence in all the major regulatory, financial, and commercial centers around the globe, we mobilize to address highly sensitive, complex regulatory issues that pose significant operational and reputational risks to clients. We navigate every crisis by integrating with our clients&rsquo; internal teams, and working to set a strategy that balances the relevant legal, operational, and reputational considerations.<br>
<br>
From winning headline-making trials, to investigating and defending against allegations related to financial fraud, market manipulation, bribery, corruption, cryptocurrency, sanctions, healthcare and other matters, to helping companies proactively prevent misconduct &mdash; we bring unsurpassed experience to such engagements.<br>
<br>
Judgment &mdash; informed by deep experience &mdash; often makes the difference early in a crisis, when seemingly minor decisions can cause unforeseen consequences. From a federal agent knocking at the door to surprise subpoenas to reputation defining allegations, we have successfully counseled myriad clients through a range of crises. Our first-hand experience conducting investigations and responding to government inquires around the world allows us to see around corners and help clients avoid pitfalls.<br>
<br>
Our global team features more than two dozen lawyers with significant prior government experience. Members include former high-ranking US government lawyers from both sides of the aisle who understand the inner workings of the government and regularly deliver results that dramatically reduce our clients&rsquo; legal, financial, and reputational exposure. Our lawyers&rsquo; longstanding relationships with regulators and prosecutors enable us to advocate effectively on behalf of clients. We resolve most matters discretely and on favorable terms, but always bring a trial-ready mindset backed by an outstanding trial record in the most difficult cases.<br>
<br>
Companies and their boards regularly retain Latham to conduct internal investigations related to allegations of financial irregularities, whistleblowers, market misconduct, and bribery or corruption. We set clear goals, help clients determine potential exposure, and devise strategies to assess the need for disclosure to authorities, minimize collateral damage and restore confidence and trust among key constituents. The team regularly interacts with government enforcement agencies, regulators, external auditors, and congressional committees and can comprehensively address a client&rsquo;s challenges.<br>
<br>
A Formidable Roster<br>
Our white collar defense and investigations team includes experienced defense counsel and numerous former government officials, including:<br>
<br>
Assistant Attorney General for the US Department of Justice&rsquo;s (DOJ) Criminal Division<br>
Acting Assistant Attorney General and Principal Deputy Assistant Attorney General for the DOJ&rsquo;s Criminal Division<br>
Chief of the Securities &amp; Commodities Fraud Task Force of the US Attorney&rsquo;s Office for the Southern District of New York<br>
Director of DOJ&rsquo;s Enron Task Force<br>
More than 20 Assistant US Attorneys<br>
Acting Director and Deputy Director of the Securities and Exchange Commission&rsquo;s Division of Enforcement<br>
Chief Trial Attorney in the Division of Enforcement of the Commodity Futures Trading Commission<br>
White House Counsel and Four Deputy White House Counsel<br>
Associate Deputy Attorney General<br>
Director for COVID-19 Fraud Enforcement in the US Department of Justice
</div></div></div><h2 class="jobSectionHeader"><b>About the Role
</b></h2><div><div><div>The White Collar Practice is seeking a highly qualified associate with a minimum of two years of experience to join our 3rd to 6th year associate class.
</div></div></div><h2 class="jobSectionHeader"><b>Main Contact Details
</b></h2><div><div><div>LateralRecruiting.Litigation&amp;Tax@lw.com
</div></div></div><h2 class="jobSectionHeader"><b>Additional Information
</b></h2><div><div><div>Investing in the well-being of our lawyers and staff is among the firm&rsquo;s highest priorities. Through our &ldquo;LiveWell Latham&rdquo; program, we offer best-in-class benefits and comprehensive resources designed to support you and your loved ones through all life&rsquo;s moments &mdash; from building a family and taking care of loved ones, to managing your health and saving for the future.<br>
<br>
Latham &amp; Watkins is an equal opportunity employer. The Firm prohibits discrimination against any employee or applicant for employment on the basis of race (including, but not limited to, hair texture and protective hairstyles), color, religion, sex, age, national origin, sexual orientation, gender identity, veteran status (including veterans of the Vietnam era), gender expression, marital status, or any other characteristic or condition protected by applicable statute.<br>
<br>
We periodically provide demographic data to legal publications, bar associations, civic and community organizations, and in some instances, to local, state, and federal government agencies as required by law or contract. So that the firm can provide this information accurately, we request that you consider self-identifying.<br>
<br>
 review your rights under U.S. employment laws. In accordance with Latham &amp; Watkins policies, associates in this role must protect and maintain any highly sensitive, confidential, privileged, financial and/or proprietary information that Latham &amp; Watkins retains either as part of the legal services the Firm provides to clients or for internal purposes.<br>
<br>
Los Angeles: Latham &amp; Watkins LLP will consider qualified applicants with criminal histories in a manner consistent with the City of Los Angeles Fair Chance Initiative for Hiring Ordinance (FCIHO).<br>
<br>
San Francisco: Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.<br>
<br>
Massachusetts: It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability. An employer that violates this law may be subject to fines and/or a private right of action for $500 in statutory damages &ldquo;for each such violation,&rdquo; among other things.
</div></div></div><h2 class="jobSectionHeader"><b>Pay Range
</b></h2><div><div><div><div><b>Associate Base Salary</b></div><div>
Discretionary bonuses may be available depending on application circumstances and position.</div><div></div><div><div><div><b><br>
Year</b></div><div><b> US Payroll</b></div></div><br>
<div><div><b>
1st Year</b></div><div> $225,000</div></div><br>
<div><div><b>
2nd Year</b></div><div> $235,000</div></div><br>
<div><div><b>
3rd Year</b></div><div> $260,000</div></div><br>
<div><div><b>
4th Year</b></div><div> $310,000</div></div><br>
<div><div><b>
5th Year</b></div><div> $365,000</div></div><br>
<div><div><b>
6th Year</b></div><div> $390,000</div></div><br>
<div><div><b>
7th Year</b></div><div> $420,000</div></div><br>
<div><div><b>
8th Year</b></div><div> $435,000</div></div></div></div></div></div></div>

Associate - Litigation & Trial - White Collar Defense & Investigations

Ascendion

<div><div><p>About Ascendion<br>
</p><div></div><div><div><div><div><div><p>We are seeking an experienced <b>Securities and Capital Markets Attorney </b>to join our growing team. This role focuses exclusively on U.S. and cross-border capital markets transactions, advising issuers, underwriters, and placement agents on securities offerings and regulatory compliance. The ideal candidate has hands-on experience with public and private securities offerings, SEC reporting, and stock exchange matters, and thrives in a fast-paced, deal-driven environment.
</p><p>We are seeking an experienced <b>Securities and Capital Markets Attorney </b>to join our growing team. This role focuses exclusively on U.S. and cross-border capital markets transactions, advising issuers, underwriters, and placement agents on securities offerings and regulatory compliance. The ideal candidate has hands-on experience with public and private securities offerings, SEC reporting, and stock exchange matters, and thrives in a fast-paced, deal-driven environment.
</p><p><b>Position: </b>Capital Markets Attorney
</p><p><b>Location: </b>Hybrid - New York
</p><p><b>Key Responsibilities
</b></p><ul><li>Advise issuers and underwriters on capital markets transactions, including IPOs, follow-on offerings, registered direct offerings, shelf registrations, SPAC transactions, PIPEs, and private placements.
</li><li>Draft and review registration statements, prospectuses, private placement memoranda, underwriting agreements, warrant and subscription agreements, and related disclosure documents.
</li><li>Prepare and manage SEC filings under the Securities Act of 1933 and Securities Exchange Act of 1934, including Forms S-1, S-3, 10-K, 10-Q, 8-K, and proxy statements.
</li><li>Counsel public companies on ongoing reporting obligations, corporate governance, insider trading policies, and compliance with stock exchange listing standards.
</li></ul><p><b>Qualifications
</b></p><ul><li>J.D. from an accredited law school and active membership in good standing with New York bar.
</li><li>2+ years of experience in capital markets or securities law at a top-tier law firm or in-house legal department.
</li><li>In-depth understanding of SEC regulations, FINRA rules, and stock exchange requirements.
</li><li>Proven track record in handling public and private offerings, SEC filings, and disclosure matters.
</li></ul><p><b>Salary and Other Compensation:
</b></p><p>The annual salary for this position is between <b>$150,000 &ndash; $250,000 </b>. Factors which may affect pay within this range include geography/market, skills, education, experience, and other qualifications of the successful candidate.
</p><p><b>Benefits:
</b></p><ul><li>Bonus Program
</li><li>Medical, dental, and vision insurance
</li><li>Paid time off
</li></ul></div></div></div><p>Position Information</p></div></div></div></div><p></p>
<br><div><div><h4 class="jobSectionHeader"><b>Preferred Skills
</b></h4><div><div>Securities
<ul><li><div>SEC Filings
</div></li><li><div>FINRA
</div></li><li><div>Securities Act
</div></li><li><div>PIPEs
</div></li><li><div>IPOs
</div></li></ul></div></div></div><div><h4 class="jobSectionHeader"><b>Job details
</b></h4><div><div><h6 class="jobSectionHeader"><b>Job ID
</b></h6><p>331417
</p></div><div><h6 class="jobSectionHeader"><b>Job Requirements
</b></h6><p>Attorneys
</p></div><div><h6 class="jobSectionHeader"><b>Location
</b></h6><p>New York city, New York, US
</p></div><div><h6 class="jobSectionHeader"><b>Recruiter
</b></h6><p>Dhaval
</p></div><div><h6 class="jobSectionHeader"><b>Email
</b></h6><p>dhaval.sule@ascendion.com
</p></div></div></div><div><h4 class="jobSectionHeader"><b>About Ascendion
</b></h4><div><h6 class="jobSectionHeader"><b>Ascendion is a full-service digital engineering solutions company. We make and manage software platforms and products that power growth and deliver captivating experiences to consumers and employees.
</b></h6><p>Our engineering, cloud, data, experience design, and talent solution capabilities accelerate transformation and impact for enterprise clients. Headquartered in New Jersey, our workforce of 6,000+ Ascenders delivers solutions from around the globe. Ascendion is built differently to engineer the next.</p></div></div></div>

Attorneys

Scotiabank

<p></p><div><p><b>Requisition ID:</b> 244219</p><p><b>
Salary Range:</b> 254,600.00 - 423,400.00</p><p><i>
Please note that the Salary Range shown is a guideline only. Salary offered may vary based on factors, including, but not limited to, the successful candidate&rsquo;s relevant knowledge, skills, and experience.</i></p><p></p><p><br>
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.</p><p></p><p><b><br>
Managing Director, Chief Legal Officer, U.S. Global Banking &amp; Markets</b></p><p></p><p><b><i><br>
Purpose</i></b></p><p></p><p><br>
The Chief Legal Officer, U.S. takes the lead to set standards for excellence in legal standards and governance to support the U.S. operation&rsquo;s ability to help optimize long term Bank shareholder value. Responsibilities include the (i) provision of high quality legal advice and counsel to the U.S. Co CEO&rsquo;s and the Board of Directors of Scotia Holdings USA (SHUSA), with respect to all U.S. business, corporate activities and transactions to help ensure enterprise-wide results are met in accordance with regulatory and legislative requirements and Scotiabank&rsquo;s overall corporate governance, (ii) advising on business strategies, plans, initiatives and emerging regulations and trends for compliance with governing regulations, internal policies and procedures and (iii) managing litigation, investigations and employment disputes involving the U.S. operations.</p><p></p><p><b><i><br>
Accountabilities</i></b></p><div><ul><li>
As a member of the U.S. Senior Executive Team, contributes to setting the strategic direction for the Bank&rsquo;s U.S. operations. This includes:</li></ul><div><ul><li>
reviewing strategic initiatives for alignment with regulatory and legislative requirements</li><li>
contributing to setting internal standards for business conduct in U.S. business lines/divisions</li><li>
reviewing matters relating to reputational risk for the Bank&rsquo;s U.S. operations</li><li>
effectively managing risk within the function, including managing litigation and pre-litigation disputes impacting US businesses and provide advice relating to risks relating to such litigation and disputes</li><li>
ensuring effective management and, where necessary, mitigation of material legal risk exposures, in particular those that exceed or have the potential to exceed the applicable approved risk appetite and/or risk appetite limits</li><li>
providing leadership in communicating within the function risk appetite so as to help embed appropriate risk taking into the Bank&rsquo;s culture, and</li><li>
escalating breaches in risk appetite and material risk exposure in a timely manner</li><li>
assisting BNS Executive Office Legal to manage US governed lawsuits pertaining to the parent or affiliates, as requested from time to time</li></ul></div></div><p></p><div><br>
<ul><li>
Acts as the US Operations&rsquo; general counsel to the U.S. Board of Directors</li><li>
Provides proactive strategic business partnering, advice and counsel to the U.S Executive Leadership team (Exco) including the U.S Co CEO&rsquo;s on all legal matters (transactional or regulatory) including:</li></ul><div><ul><li>
managing and resolving identified legal, statutory, contractual issues and concerns</li><li>
providing legal advice to support compliance with relevant acts, government policies, corporate policies and procedures, and all other contractual obligations</li><li>
overseeing the provision of legal advice to the Bank&rsquo;s US operations on financial transactions, from initial stages of development to negotiation, interpretation, and drafting of all documentation with a focus of identifying and mitigating the Bank&rsquo;s U.S. operations risks and legal obligations</li><li>
enhancing the Bank&rsquo;s U.S. operations&rsquo; external relationships with stakeholders, government officials, regulators, business and professional groups</li></ul></div></div><br>
<p></p><ul><li>
Provides directly, or oversee the indirect provision of legal services to senior management, Human Resources, supervisory officers, line management and their respective direct and indirect reports.</li></ul><br>
<p></p><ul><li>
Builds a high performance environment and implement a people strategy that attracts, retains, develops and motivates their team by fostering an inclusive work environment, communicating vision/values/department strategy and proactively planning for, and managing, succession and development planning for the team.</li></ul><br>
<p></p><ul><li>
Provides strong leadership and guidance to subordinates with regard to strategic, policy and operational issues, while providing them with the opportunity to perform their responsibilities on a day to day basis without specific oversight.</li></ul><br>
<p></p><ul><li>
Ensure timely action is taken to effectively manage and mitigate risks, including prompt escalation of breaches of management limits or risk appetite measures as per established processes.</li></ul><br>
<p></p><ul><li>
Serve as a member of the U.S. Executive Committee, U.S. Issues &amp; Regulatory Oversight Committee, and U.S. Local Conduct Committee and act in furtherance of the goals and decisions of the U.S. Executive Committee&rsquo;s goals and objectives.</li></ul><p></p><p><b><i><br>
Dimensions</i></b></p><ul><li>
Approximately twenty-five total reports</li><li>
Responsible for providing Legal support to U.S. GBM operations, and corporate secretarial support to U.S. Holding Company and affiliates and senior management committees</li><li>
The legal assignments and supervision cover a broad range of Bank&rsquo;s U.S. operations related matters or specialized areas of law. The applicable laws and regulations are numerous, varied and complex.</li><li>
Responsible for supporting regulatory relationships with Federal Reserve, SEC, CFTC, NYS DFS and other regulatory bodies responsible for supervising Bank&rsquo;s U.S. operations</li><li>
The incumbent is required to:</li><li><div><ul><li>
Demonstrate excellent management, relationship building and communication skills</li><li>
Work confidently with senior management and provide advice and counsel on a broad range of legal issues</li><li>
Provide leadership and direction to the US legal team</li><li>
Obtain consensus support for initiatives and achieve successful outcomes</li><li>
Recruit, motivate and retain team members</li><li>
Develop and mentor team members</li></ul></div></li></ul><p></p><p><b><i><br>
Education / Experience / Other Information</i></b></p><ul><li>
At least 15 years of in-house legal or law firm experience in the financial services industry with capital markets, regulatory and banking experience.</li><li>
Experience in corporate lending and capital markets transactional matters</li><li>
Ideally, experience working for a non-U.S. bank and the ability to function effectively in a matrixed management environment.</li><li>
Experience dealing with banking and securities regulators, especially the Federal Reserve, NYS DFS, CFTC, and SEC.</li><li>
Knowledgeable on federal regulations impacting wholesale banking and capital markets operations, including Title VII of the Dodd Frank Act, the Volcker Rule, Regulation D, Regulation W and Regulation YY.</li><li>
Experience in managing litigation disputes, including employment matters.</li><li>
Excellent communicator in both the written and oral form. Understands how to approach communication from a strategic perspective. Ability to create clear, convincing and well organized presentations and communications.</li><li>
J.D. degree required</li></ul><p></p><p><br>
Location(s): United States : New York : New York City || United States : Texas : Dallas</p><p>
Scotiabank is a leading bank in the Americas. Guided by our purpose: &quot;for every future&quot;, we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets.</p><p>
At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation (including, but not limited to, an accessible interview site, alternate format documents, ASL Interpreter, or Assistive Technology) during the recruitment and selection process, please let our Recruitment team know. Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.<br>
<br>
Scotiabank is an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law.</p></div>

Managing Director & Chief Legal Officer, U.S.

Deloitte

Senior Counsel, Trade ControlsReference Code 3045
<br><br>
<b>Country:</b><br>
<b>US Locations:</b> USA - New York; USA - Washington
<br><br>
Deloitte Global is the engine of the Deloitte network. Our professionals reach across disciplines and borders to develop and lead global initiatives. We deliver strategic programs and services that unite our organization.
<br><br>
Work you'll do
<br><br>
The Senior Counsel - Trade Controls & Sanctions Compliance position will be part of the team of the Deloitte Global Office of General Counsel. Led by the General Counsel, Deloitte Global OGC consists of approximately 50 people, including lawyers and legal assistants located in the US, UK, Australia and various other countries. Deloitte Global OGC has three main groups: Corporate Affairs, Technology and Business Solutions, and Disputes, Regulatory & Employment, each of which is led by a Deputy General Counsel. The Disputes, Regulatory & Employment group currently has 9 full-time lawyers, including the Deputy General Counsel.
<br><br>
The Senior Counsel - Trade Controls & Sanctions Compliance is a pivotal member of the legal team, responsible for providing expert legal advice and leadership on export controls and economic sanctions. This role operates at the intersection of legal, regulatory, and business strategy, ensuring compliance with applicable laws while providing strategic and actionable guidance.
<br><br>
<b>Responsibilities:</b><br>
Provide expert legal advice and guidance to Deloitte member firms and Deloitte Global on economic sanctions and export controls, including developing policies and procedures and performing export control classification.
<br><br>
Monitor changes in trade laws and regulations that may impact Deloitte Global and Deloitte member firms and advise Deloitte member firm and Deloitte Global leaders on emerging issues.
<br><br>
Provide oral and written counsel and propose operational solutions to complex, cross-border matters implicating U.S. export controls and sanctions compliance.
<br><br>
Monitor and interpret geopolitical developments and translate them into clear, actionable guidance, and provide support to Deloitte Global and Deloitte member firm business leaders in their understanding of economic sanctions and export controls.
<br><br>
Partner effectively across functions at Deloitte Global, including the Anti-Corruption and Financial Crimes Compliance team, to achieve objectives in a productive and collaborative manner, including enhancing awareness, promoting compliance, and driving the adoption of best practices.
<br><br>
As needed, provide support and guidance in diverse other regulatory areas, including anti-corruption and AML compliance.
<br><br>
The team
<br><br>
Global General Counsel provides legal guidance and expertise to Deloitte Global, the broader Deloitte organization, and our business leaders. We advise on regulatory, claims, and corporate legal matters, as well as additional issues that may pose novel or unique situations.
<br><br>
Qualifications
<br><br>
<b>Education:</b> Juris Doctor (JD), Bachelor of Laws (LLB), or equivalent law degree from a highly regarded law school.
<br><br>
<b>Years of Experience:</b> Minimum 7 years as a practicing attorney, with demonstrated experience advising clients in export controls and sanctions laws at a major law firm or in the legal department of a corporation, professional services organization, and/or governmental agency. Prior in-house experience is a plus.
<br><br>
<b>Required:</b><br>
Experience with US trade regulation, including ITAR, EAR, OFAC, BIS, and other economic sanctions and export controls programs, from the investigatory, litigation/enforcement, and policy perspectives, including experience with classification under US export controls.
<br><br>
Demonstrated proficiency with non-U.S. sanctions regimes (e.g., EU, UK, UN, and other international frameworks).
<br><br>
Excellent cross-cultural communicator who can use appropriate (and varied) interpersonal skills with Deloitte member firm and Deloitte Global leaders to provide legal and strategic counsel and guidance.
<br><br>
Proven track record of creative legal thinking and developing solutions to cross-border challenges while successfully navigating the regulatory landscape.
<br><br>
Strong analytic and critical thinking skills and extremely strong verbal and written communication skills. Curiosity and energy for learning, interest in technology, AI, and innovation and developments in regulations
<br><br>
Our culture
<br><br>
At Deloitte Global people are valued and respected for who they are - with opportunities to bring their unique perspectives, talents and passions to business challenges. Our global workspace creates room for individuality and collaboration. Ours is an inclusive, supportive, connected culture with a focus on development, flexibility, and well-being. This culture makes Deloitte Global one of the most rewarding places to work, and to transform your career.
<br><br>
Professional development
<br><br>
From entry-level employees to senior leaders, we believe in investing in you, helping you identify and hone your unique strengths at every step of your career. We offer opportunities to build new skills, take on leadership opportunities, and connect and grow through mentorship. From on-the-job learning experiences to formal development programs, our professionals have a variety of opportunities to continue to grow throughout their career.
<br><br>
Benefits
<br><br>
At Deloitte, we value our people and offer employees a broad range of benefits. Our Total Rewards program reflects our continued commitment to lead from the front in everything we do-that's why we take pride in offering a comprehensive variety of programs and resources to support your health and well-being.
<br><br>
Recruiting for this role ends on 02/04/2026.
<br><br>
Deloitte Global is required by local law to include a reasonable estimate of the compensation range for this role for individuals applying to work in our New York and Washington, D.C. locations. This compensation range takes into account the wide range of factors that are considered in making compensation decisions including but not limited to skill sets; experience and training; licensure and certifications; and delivery model. We would not anticipate that the individual hired into this role would land at or near the top end of the range, but such a decision will be dependent on the facts and circumstances of each case. A reasonable estimate of the range is $195,900.00 - $326,600.00 for individuals applying to work in these locations.

Senior Counsel, Trade Controls

<div><div><div><div>United States - Connecticut, United States - New Jersey, United States - New York</div>
</div><div><div>Business management, administration and support
</div></div><div><div>Group Functions
</div></div><div><p><b>Job Reference #</b></p>
<div>325928BR</div>
</div><div><p><b>City</b></p>
<div>New York, Stamford, Weehawken</div>
</div><div><p><b>Job Type</b></p>
<div>Full Time
</div></div><div><p><b>Your role</b></p>
<div>Would you like to work in a fast-paced environment that presents opportunities to take on significant responsibility?
<br>
<br>
We&rsquo;re looking for a Regulatory Affairs Counsel to:<br>
<ul><li>Serve as the face of UBS's Investment Bank to its regulators in presenting our commitment to regulatory compliance and our strong culture of integrity and transparency</li><li>Coordinate and oversee regulatory examinations, inquiries, enforcement investigations and ad hoc requests from securities, swaps and futures regulators, partnering with various internal departments to gather required data, draft responses, negotiate resolutions and drive regulator-initiated remediation</li><li>Manage and oversee regulatory matters (inquiries, exams, investigations, enforcement matters and ad hoc requests) which will include regular interaction with regulatory personnel at NFA, CME, CFTC, SEC and FINRA and with UBS senior management and other groups throughout our firm</li><li>Build and maintain exemplary relationships with our
</li></ul>Firm's regulators<br>
<ul><li>Identify, organize and coordinate document productions including assessing responsiveness and ensuring information is presented in an accurate, complete and timely manner</li><li>Negotiate formal disciplinary actions, as needed</li><li>Represent firm personnel in &quot;on-the-record&quot; interviews conducted by regulators</li><li>Work closely with business and compliance personnel to formulate remedial actions and track/drive their implementation</li><li>Create and distribute internal reports relating to pending regulatory matters</li></ul><br>
Detailed salary information:<br>
<ul><li>Weehawken, Stamford, New York: the salary range for this role is $178000 to $233000</li></ul>
The expected salary range(s) for this role as of the date of this posting is/are based on factors including, but not limited to, experience, qualifications, education, location and skill level. This role may also be eligible for discretionary incentive compensation. For benefits information, please visit ubs.com/usbenefits.</div>
</div><div><p><b>Your team</b></p>
<div>You will be an integral part of the Securities Regulatory Affairs team aligned with the UBS Investment Bank in the U.S. This dynamic team of attorneys and analysts handles all aspects of SEC, CFTC, NFA, FINRA and other regulatory matters relating to our IB business, and partners with senior business managers to complete and accurate responses and ensure execution of regulatory-driven remediation.</div>
</div><div><p><b>Your expertise</b></p>
<ul><li>Ideally 5+ years of experience in another broker-dealer, regulatory entity, or law firm practicing in investment banking regulatory matters
</li><li>Significant experience with and understanding of equities, fixed income, swaps and futures rules and regulations, particularly those pertaining to trading activities and attendant regulatory reporting requirements</li><li>Strong organizational and project management skills, strong written and verbal communication skills, and the ability to multi-task</li><li>Ability to identify and escalate issues of potential regulatory risk in a timely and succinct manner</li><li>Ability to work in a high pressure environment, manage multiple matters with competing and important interests and adhere to strict deadlines</li><li>Proficient in Microsoft Word, Excel and PowerPoint</li><li>Possess a JD from an accredited law school and license to practice law in New York, or ability to obtain appropriate licensure as in-house counsel</li></ul>
</div><div><p><b>About us</b></p>
<div>UBS is the world&rsquo;s largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal &amp; Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.<br>
<br>
We have a presence in all major financial centers in more than 50 countries.</div>
</div><div><p><b>Salary information</b></p>
<div>US Only: The expected salary range for this role is $178000 to $233000 based on factors including, but not limited to, experience, qualifications, education, location and skill level. Please see &laquo;Your role&raquo; section for detailed salary information.</div>
</div><div><p><b>Join us</b></p>
<div>At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We&rsquo;re dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. We also recognize that great work is never done alone. That&rsquo;s why collaboration is at the heart of everything we do. Because together, we&rsquo;re more than ourselves.<br>
<br>
We&rsquo;re committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.</div>
</div><div><p><b>Contact Details</b></p>
<div>UBS Business Solutions SA<br>
UBS Recruiting</div>
</div><div><p><b>Disclaimer / Policy statements</b></p>
<div>UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.</div></div></div></div><div></div>

Litigation & Regulatory Lawyer

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