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associate general counsel

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Artius Solutions

<div>Attorney Securities &amp; Regulatory Advisory
Location: Flexible (Multiple U.S. Offices) 
Experience Level: 7 10 years 
Employment Type: Full-time
Overview
Seeking an experienced Attorney to advise on matters involving federal securities laws, broker-dealer, and investment adviser compliance. This role will focus on regulatory counseling and the development of investment structures, including technology and early-stage platforms.
Key Responsibilities
<ul><li>Advise on status issues and opinions under the Investment Company Act.
</li><li>Counsel clients on broker-dealer and investment adviser registration and compliance.
</li><li>Draft opinions and advise on alternative investment platform setup.
</li><li>Provide guidance on emerging technologies and digital assets.
</li><li>Work collaboratively with business stakeholders on regulatory strategies.
</li></ul>Qualifications
<ul><li>Juris Doctor (JD) degree.
</li><li>7 10 years of experience advising on securities and regulatory matters.
</li><li>Strong understanding of broker-dealer and investment adviser laws.
</li><li>Excellent academic credentials and communication skills.
</li><li>Proven ability to manage complex matters independently.
</li></ul>Preferred Experience
<ul><li>Background in finance law, blockchain, or digital assets.
</li><li>Prior experience working with technology-driven financial structures.
</li></ul>Additional Details
<ul><li>Compensation: Highly competitive, depending on experience.
</li><li>Benefits: Comprehensive benefits package.
</li><li>Travel: Minimal to none.
</li></ul>.</div>

Attorney Securities & Regulatory Advisory

<div>Associate Structured Finance / Lending
Location: New York, NY
 
Experience Level: 2 6 years 
Employment Type: Full-time
Overview
Seeking a skilled Associate Attorney with experience in Structured Finance, Asset-Backed Lending (ABL), and General Bank Lending. This role offers exposure to complex financial transactions, including private securities offerings, syndicated lending, and structured lending.
Key Responsibilities
<ul><li>Support structured finance and lending transactions, including ABL and securitization.
</li><li>Draft and negotiate documentation for complex lending and financing deals.
</li><li>Collaborate with senior attorneys and clients on cross-border financial matters.
</li><li>Conduct legal research and ensure compliance with relevant regulatory frameworks.
</li><li>Contribute to client relationship management and business development efforts.
</li></ul>Qualifications
<ul><li>Juris Doctor (JD) degree.
</li><li>2 6 years of experience in structured finance, ABL, or general lending transactions.
</li><li>Strong academic background from an accredited law school.
</li><li>Excellent drafting, analytical, and communication skills.
</li><li>Demonstrated ability to manage multiple priorities and meet deadlines.
</li></ul>Preferred Skills
<ul><li>Experience with CLOs, ABS, or CMBS.
</li><li>Familiarity with securities and banking regulations.
</li><li>Prior experience in a large or mid-sized law firm environment.
</li></ul>Additional Details
<ul><li>Compensation: Competitive and commensurate with experience.
</li><li>Benefits: Full suite of benefits.
</li><li>Work Environment: Collaborative, growth-oriented, and client-focused.
</li></ul>.</div>

Associate Structured Finance Lending

Wells Fargo

<div>About this role: 
 
Wells Fargo is seeking a Senior Counsel in Legal as part of the Regulatory Initiatives Team Section of the Public, Regulatory and Corporate Division of the Legal Department. For additional information on this line of business, refer to the external Careers Site at Wellsfargo.com/career. 
 
This role will be supporting activities relating to the company's engagement efforts on Digital Assets, Payment Stablecoins, blockchains, distributed ledger technology (DLT) and Cryptocurrencies, and related items (including items that may relate to legislative advocacy, regulatory developments and rules, and external communications). The successful candidate will have strong legal research and analysis skills, be familiar with the regulatory rulemaking process, and an appreciation for risk management in relation to Wells Fargo's compliance with laws, regulations and rules.
 
 
In this role, you will:<ul><li>
Research and analyze laws, regulations, and rules to assess applicability to Wells Fargo</li><li>
Provide legal advice related to various rulemakings and other regulatory activities, including advocacy through trade organizations, for areas of critical importance to the bank, including novel areas of law
</li><li>Instruct and liaise with outside counsel as required</li><li>
Provide guidance to management on legal and regulatory matters impacting business strategy and policy or claims against the Company</li><li>
Proactively identify policy, legal, and regulatory matters pertaining to area of expertise, and evaluate the legal risk and impact</li><li>
Independently resolve moderately complex issues and lead teams to meet deliverables</li><li>
Exercise considerable discretion and may serve as the primary legal contact for assigned clients</li><li>
Collaborate within the department and across business and staff functions to address legal and risk issues in a manner consistent with the best interests of Wells Fargo</li><li>
Coach, mentor, and provide oversight for less experienced attorneys or staff</li><li>
Lead initiatives of varying scope and complexity</li></ul>
Required Qualifications:<ul><li>
4+ years of Law experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education</li><li>
Active State Bar membership</li></ul>
Desired Qualifications:<ul><li>
3+ years of practicing as an attorney with a major law firm, banking regulatory agency, or in-house law department</li><li>
2+ years of experience advising complex financial institutions on regulatory matters</li><li>
Familiarity with digital assets, blockchains, cryptocurrencies, and traditional securities, payments, and/or commodities law</li><li>
Experience analyzing novel legal and regulatory issues in area of practice and providing effective counsel to clients on complex legal matters</li><li>
Ability to work and influence successfully within a heavily matrixed environment and build effective business partnerships with all levels of team members</li><li>
Experience working with changing priorities and deadlines</li><li>
Preferred in-house experience at a large financial firm or experience at a federal bank regulatory agency</li><li>
Ability to work effectively in a complex, fast-moving environment with a high degree of collaboration</li><li>
Strong organizational and project management skills</li><li>
Strong leadership and problem-solving skills</li><li>
Strong attention to detail and accuracy</li><li>
Excellent verbal, written, and interpersonal communication skills</li></ul>
Job Expectations:<ul><li>
Ability to travel up to 10% of the time</li></ul>
Pay Range 
 
Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates. 
$139,000.00 - $260,000.00 
Benefits
 
 
Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.<ul><li>
Health benefits</li><li>
401(k) Plan</li><li>
Paid time off</li><li>
Disability benefits</li><li>
Life insurance, critical illness insurance, and accident insurance</li><li>
Parental leave</li><li>
Critical caregiving leave</li><li>
Discounts and savings</li><li>
Commuter benefits</li><li>
Tuition reimbursement</li><li>
Scholarships for dependent children</li><li>
Adoption reimbursement</li></ul>
Posting End Date: 
2 Nov 2025 
<ul><li>Job posting may come down early due to volume of applicants.
</li></ul> 
We Value Equal Opportunity 
 
Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic. 
 
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements. 
 
Applicants with Disabilities 
 
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo . 
 
Drug and Alcohol Policy 
 
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more. 
 
Wells Fargo Recruitment and Hiring Requirements: 
 
a. Third-Party recordings are prohibited unless authorized by Wells Fargo. 
 
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.</div>

Senior Counsel - Senior AVP, Regulatory Initiatives

<div>About this role: 
 
Wells Fargo is seeking an Assistant General Counsel - VP in Legal as part of the Regulatory Initiatives Team Section of the Public, Regulatory and Corporate Division of the Legal Department. 
 
This role will be supporting activities relating to the company's engagement efforts on Digital Assets, Payment Stablecoins, blockchains, distributed ledger technology (DLT) and Cryptocurrencies, and related items (including items that may relate to legislative advocacy, regulatory developments and rules, and external communications). The successful candidate will have strong legal research and analysis skills, be familiar with the regulatory rulemaking process, and an appreciation for risk management in relation to Wells Fargo's compliance with laws, regulations and rules.
 
 
For additional information on this line of business, refer to the external Careers Site at Wellsfargo.com/career. 
 
In this role, you will:<ul><li>
Research and analyze laws, regulations, and rules to assess applicability to Wells Fargo</li><li>
Provide legal advice related to various rulemakings and other regulatory activities, including advocacy through trade organizations, for areas of critical importance to the bank, including novel areas of law
</li><li>Instruct and liaise with outside counsel as required</li><li>
Provide guidance to management on legal and regulatory matters impacting business strategy and policy or claims against the Company</li><li>
Proactively identify policy, legal, and regulatory matters pertaining to area of expertise, and evaluate the legal risk and impact</li><li>
Independently resolve moderately complex issues and lead teams to meet deliverables</li><li>
Exercise considerable discretion and may serve as the primary legal contact for assigned clients</li><li>
Collaborate within the department and across business and staff functions to address legal and risk issues in a manner consistent with the best interests of Wells Fargo</li><li>
Coach, mentor, and provide oversight for less experienced attorneys or staff</li><li>
Lead initiatives of varying scope and complexity</li></ul>
Required Qualifications:<ul><li>
5+ years of Law experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education</li><li>
Active State Bar membership</li></ul>
Desired Qualifications:<ul><li>
3+ years of practicing as an attorney with a major law firm, banking regulatory agency, or in-house law department</li><li>
2+ years of experience advising complex financial institutions on regulatory matters</li><li>
Familiarity with digital assets, blockchains, cryptocurrencies, and traditional securities, payments, and/or commodities law</li><li>
Experience analyzing novel legal and regulatory issues in area of practice and providing effective counsel to clients on complex legal matters</li><li>
Ability to work and influence successfully within a heavily matrixed environment and build effective business partnerships with all levels of team members</li><li>
Experience working with changing priorities and deadlines</li><li>
Preferred in-house experience at a large financial firm or experience at a federal bank regulatory agency</li><li>
Ability to work effectively in a complex, fast-moving environment with a high degree of collaboration</li><li>
Strong organizational and project management skills</li><li>
Strong leadership and problem-solving skills</li><li>
Strong attention to detail and accuracy</li><li>
Excellent verbal, written, and interpersonal communication skills</li></ul>
Job Expectations:<ul><li>
Ability to travel up to 10% of the time</li></ul>
Pay Range 
 
Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates. 
$159,000.00 - $305,000.00 
Benefits
 
 
Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.<ul><li>
Health benefits</li><li>
401(k) Plan</li><li>
Paid time off</li><li>
Disability benefits</li><li>
Life insurance, critical illness insurance, and accident insurance</li><li>
Parental leave</li><li>
Critical caregiving leave</li><li>
Discounts and savings</li><li>
Commuter benefits</li><li>
Tuition reimbursement</li><li>
Scholarships for dependent children</li><li>
Adoption reimbursement</li></ul>
Posting End Date: 
2 Nov 2025 
<ul><li>Job posting may come down early due to volume of applicants.
</li></ul> 
We Value Equal Opportunity 
 
Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic. 
 
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements. 
 
Applicants with Disabilities 
 
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo . 
 
Drug and Alcohol Policy 
 
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more. 
 
Wells Fargo Recruitment and Hiring Requirements: 
 
a. Third-Party recordings are prohibited unless authorized by Wells Fargo. 
 
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.</div>

Assistant General Counsel - VP, Regulatory Initiatives

Sumitomo Group

<div>SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG&rsquo;s shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. 
In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization&rsquo;s extensive global network. The Group&rsquo;s operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd. 
The anticipated salary range for this role is between $190,000.00 and $210,000.00. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar roles at the time of hire. The role may also be eligible for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits to its employees.<div><div><div><h2 class="jobSectionHeader">
Role Description</h2></div><div>
SMBC is seeking a strategic and experienced Director of Vendor Management to lead third-party vendor oversight for the Cash Management business. This role is critical in ensuring that vendor relationships align with business goals, regulatory requirements, and risk management standards. The ideal candidate will bring deep expertise in vendor governance, contract negotiation, performance monitoring, and cross-functional collaboration.</div></div><div><div><h2 class="jobSectionHeader">
Role Objectives: Delivery</h2></div><div>
Vendor Strategy &amp; Governance
- Develop and implement a comprehensive vendor management strategy for the Cash Management business. - Establish governance frameworks to ensure compliance with internal policies and regulatory requirements. - Serve as the primary point of contact for all third-party vendors supporting Cash Management services.
Relationship Management
- Build and maintain strong relationships with key vendors to ensure service quality, innovation, and value delivery. - Facilitate regular performance reviews, business reviews, and strategic planning sessions with vendors.
Contract &amp; Risk Management
- Lead contract negotiations, renewals, and amendments in collaboration with Legal, Compliance, and Procurement teams. - Monitor vendor risk, including operational, financial, and reputational risks, and implement mitigation strategies. - Ensure vendors meet service level agreements (SLAs), key performance indicators (KPIs), and regulatory obligations.
Cross-Functional Collaboration
- Partner with internal stakeholders including Technology, Operations, Risk, Compliance, and Finance to align vendor services with business needs. - Support audits, regulatory exams, and internal reporting related to vendor oversight.
Continuous Improvement
- Identify opportunities for cost optimization, process improvement, and innovation through vendor partnerships. - Stay abreast of industry trends, regulatory changes, and best practices in vendor management and cash management services.</div></div><div><div><h2 class="jobSectionHeader">
Qualifications and Skills</h2></div><div>
- Bachelor&rsquo;s degree in Business, Finance, Supply Chain, or related field; MBA or relevant certification (e.g., CTP, CPM, CRVPM) preferred. - 10+ years of experience in vendor management, procurement, or third-party risk management, preferably within financial services. - Strong understanding of cash management products and services. - Proven experience in contract negotiation, vendor performance management, and regulatory compliance. - Excellent communication, negotiation, and stakeholder management skills. - Ability to lead cross-functional initiatives and drive strategic outcomes.</div></div><div><div><h2 class="jobSectionHeader">
Additional Requirements</h2></div></div></div><div></div>
SMBC&rsquo;s employees participate in a Hybrid workforce model that provides employees with an opportunity to work from home, as well as, from an SMBC office. SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required. 
SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com.</div>

Vendor Management Director

Fidelity Investments

Job Description: As a critical member of FFIO (Fidelity Fund & Investment Operations), our Negotiator will provide legal support in order to help prioritize and complete various legal documentations, regulatory projects, and digital tool implementation. This will involve extensive partnership with our internal legal, compliance, and Anti-Money Laundering colleagues while translating this expertise into clear written and verbal communications with our counterparty and custodian relationships.The Expertise and Skills You Bring<ul><li>Bachelor's degree required</li><li>Established track record in a position aiding legal documentation either with a JD/paralegal background or operations documentation aid for intricate trade confirmations</li><li>Facilitate legal and regulatory readiness required for fund and client events for international markets and sophisticated products.</li><li>Act as a liaison with banking relationships on behalf of Fidelity for documentation and regulatory adherence to ensure operational readiness.</li><li>Provide strong communication to our business partners.</li><li>Identify areas of process improvement to improve our processes and technology to increase our legal support.</li><li>Experienced in maintaining strong external and internal relationships, especially with legal, operations, and investment teams</li><li>Ability to coordinate impact of core regulations such as Dodd Frank, EMIR, FATCA, MiFID II, FINRA, etc. on derivatives and other trading markets and ensure that agreements meet such regulatory requirements</li><li>Ability to deconstruct, analyze, and negotiate a broad range of standard legal agreements but must also be comfortable adjusting to customized documentation structures where needed</li><li>Excellent written / verbal communication, interpersonal, and relationship management skills</li><li>Ability to build strong relationships externally with industry partners and internally across legal, various product groups, investment services, trading operations, and other operational groups across Asset Management and FFIO</li><li>Experience negotiating terms with counterparties, including fallback language, collateral terms, netting provisions, and termination events</li><li>Ability to identify and escalate legal, credit, and operational risks in documentation</li><li>Analytical and creative problem solving skills to find compromise that meets the clients' needs while still protecting Fidelity</li><li>Able to think out of the box and continuously strive for improvements</li><li>Proficiency in working autonomously and balancing tasks within a fast-paced environment while handling a high volume of work</li><li>Attention to detail and focus on work product excellence</li><li>Ability to work independently, while also being passionate about the success of the team as a whole</li><li>Strong understanding of legal documentation concepts, regulations, financial products, and risk management for global markets</li></ul>The TeamThe Global Product Documentation Negotiator will join a team within the Fidelity Fund & Investment Operations division to assist in completing agreements for intricate products. There is focus on growing a more robust legal support function for complex product documentation (including ISDA, Futures & OTC Clearing, futures give up agreements, Cleared Derivative Execution Agreements (CDEA), MSFTA, & Collateral Control Agreements (CCA).The base salary range for this position is $85,000-171,000 USD per year. Placement in the range will vary based on job responsibilities and scope, geographic location, candidate's relevant experience, and other factors.Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation. We offer a wide range of benefits to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. Note, the application window closes when the position is filled or unposted.Please be advised that Fidelity's business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles. Certifications: Category: Investment Operations<img src="https://www.jobg8.com/Tracking.aspx?K8u%2f7NQsWgqU8oeAWD3L%2bZN2AHBCCGF0s" width="0" height="0" />

Equity Derivatives Contract Negotiator

Lord Gurman & Lewis LLC

I have been exclusively retained by a well-established plaintiff-side securities litigation boutique that seeks to hire a midlevel or senior associate for a role with its Manhattan office (four days typically expected in office per week). The firm seeks an associate with strong credentials, significant securities litigation experience, and significant brief drafting experience. The role involves working on major securities fraud class action cases, and the firm offers excellent hands-on experience; attorneys are entrusted with as much responsibility as they can handle, including managing cases, taking depositions, and arguing motions. Total compensation could range from $180,000 to $300,000 depending on class year and experience level, and there is significant upside. Associates typically work about 40 or so hours a week and have their weekends off. Attrition at the firm is extremely low, and morale is high. I have placed nine attorneys with the firm and have close ties with the managing partner.Job Type: Full-timePay: $180,000.00 - $300,000.00 per yearBenefits:<ul><li>401(k)</li><li>Dental insurance</li><li>Health insurance</li><li>Paid time off</li><li>Vision insurance</li></ul>Work Location: Hybrid remote in New York, NY 10016

Securities Litigation Position (Plaintiff-side) – NYC (Exclusive)

Explore 228+ Attorney securities regulatory advisory in New York this November. Find roles across top companies and apply now to boost your career.