associate general counsel Jobs in New York United States

associate general counsel

legal counsel Jobs in New York United States

legal counsel

agency attorney 03 Jobs in New York United States

agency attorney 03

appearance attorney - nyc Jobs in New York United States

appearance attorney - nyc

assistant general counsel Jobs in New York United States

assistant general counsel

attorney securities regulatory advisory

Artius Solutions

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

Attorney Securities & Regulatory Advisory

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

Associate Structured Finance Lending

Sumitomo Group

<div><p>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.</p><p></p><p><br>
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.</p><p></p><p><br>
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.</p><div><div><div><h2 class="jobSectionHeader"><b>
Role Description</b></h2></div><div><p>
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.</p></div></div><div><div><h2 class="jobSectionHeader"><b>
Role Objectives: Delivery</b></h2></div><div><p>
Vendor Strategy &amp; Governance</p><p>
- 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.</p><p>
Relationship Management</p><p>
- 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.</p><p>
Contract &amp; Risk Management</p><p>
- 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.</p><p>
Cross-Functional Collaboration</p><p>
- 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.</p><p>
Continuous Improvement</p><p>
- 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.</p></div></div><div><div><h2 class="jobSectionHeader"><b>
Qualifications and Skills</b></h2></div><div><p>
- 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.</p></div></div><div><div><h2 class="jobSectionHeader"><b>
Additional Requirements</b></h2></div></div></div><div></div><p>
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.</p><p></p><p><br>
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.</p></div>

Vendor Management Director

NYC Health + Hospitals

<div><div><div><h2 class="jobSectionHeader"><b>About NYC Health + Hospitals</b></h2><div><br>
<div><div>
</div><p>NYC Health + Hospitals is the largest public health care system in the United States. We provide essential outpatient, inpatient and home-based services to more than one million New Yorkers every year across the city&rsquo;s five boroughs. Our large health system consists of ambulatory centers, acute care centers, post-acute care/long-term care, rehabilitation programs, Home Care, and Correctional Health Services. Our diverse workforce is uniquely focused on empowering New Yorkers.</p><p>
At NYC Health + Hospitals, our mission is to deliver high quality care health services, without exception. Every employee takes a person-centered approach that exemplifies the ICARE values (Integrity, Compassion, Accountability, Respect, and Excellence) through empathic communication and partnerships between all persons.</p>
</div></div></div></div><div><div><h2 class="jobSectionHeader"><b>
Work Shifts</b></h2><div><div><div><br>
</div><p><br>
<b>9:00 A.M &ndash; 5:00 P.M</b></p><br>
</div></div></div></div><div><div><h2 class="jobSectionHeader"><b>
Duties &amp; Responsibilities</b></h2><div><br>
<div><div>
</div><p><b>Purpose of Position</b><b>:</b><br>
<br>
Under the direction of the Senior Contract Attorney and Chief Contract Officer, provides operational legal support across the contracting and procurement functions. Reviews, drafts, and negotiates procurement contracts, supply chain agreements, and vendor arrangements ensuring compliance with federal and state laws and Health + Hospitals, health care setting, and all other relevant regulatory policies.</p><p><b>
Essential Duties and Responsibilities</b><b>:</b><br>
<br>
1. Reviews, drafts, and negotiates routine and moderately complex procurement contracts, vendor agreements, and service-level agreements ensuring alignment with organizational policies and applicable laws.<br>
<br>
2. Supports the Senior Contract Attorney in managing high-value, high-risk procurement-related contracts by conducting initial legal reviews, preparing draft language, and identifying potential risks for escalation with necessary stakeholders.<br>
<br>
3. Ensures contracts contain accurate and appropriate terms and conditions regarding pricing, warranties, liability, indemnification and dispute resolution. Raises exceptions to the Senior Contract Attorney, as needed.<br>
<br>
4. Assists procurement and supply chain staff during contract negotiations, providing legal input to ensure fair, compliant, and defensible agreements.<br>
<br>
5. Monitors deadlines and renewal dates, ensuring contract obligations are tracked and escalated, if at risk of lapse.<br>
<br>
6. Conducts legal research and prepares summaries, memos, and recommendations on procurement-related laws, regulations, and compliance obligations to support institutional deliverables.<br>
<br>
7. Assists in drafting training materials and guidance documents for procurement and business units, focusing on contract compliance and standard practices.<br>
<br>
8. Prepares reports, summaries, and supporting documentation for review by the Senior Contract Attorney or Chief Contract Officer, as requested.<br>
<br>
9. Works in collaboration with business owners, procurement staff, and vendors to facilitate effective contracting processes. Escalates complex legal or regulatory issues to the Senior Contract Attorney.<br>
<br>
10. Stays informed on evolving procurement laws and regulations, and reports updates to the Senior Contract Attorney to support institutional compliance.<br>
<br>
11. Performs other related duties, as required.</p>
</div></div></div></div><div><div><h2 class="jobSectionHeader"><b>
Minimum Qualifications</b></h2><div><br>
<div><div>
</div><p>1. Admission and active membership to New York State Bar; and<br>
2. Two (2) years of experience subsequent to admission to the Bar, in drafting and negotiating contracts under New York<br>
law.</p>
</div></div></div></div><div><div><h2 class="jobSectionHeader"><b>
Department Preferences</b></h2>
<div>
<div></div><div><ul><li>HIPAA, New York State/City labor laws, CMS regulations, anti-kickback laws, FOIL, public procurement methods, and vendor diversity requirements (e.g. NYS Executive Law Article 15-A).</li><li>
Transactional experience is required.</li><li>
In-house experience, as well as specialized knowledge and experience with commercial contracting in a healthcare environment.</li><li>
Excellent interpersonal, analytical, and oral and written communication skills.</li><li>
Computer literacy with excellent skills in Microsoft and Google office suites</li><li>
Four (4) years of experience subsequent to admission to the Bar, in drafting and negotiating contracts under New York law</li></ul>
</div></div></div></div><div><div><h2 class="jobSectionHeader"><b>Benefits</b></h2><div><br>
<div><div>
</div><p>NYC Health and Hospitals offers a competitive benefits package that includes:</p><ul><li>
Comprehensive Health Benefits for employees hired to work 20+ hrs. per week</li><li>
Retirement Savings and Pension Plans</li><li>
Paid Holidays and Vacation in accordance with employees' Collectively bargained contracts</li><li>
Loan Forgiveness Programs for eligible employees</li><li>
College tuition discounts and professional development opportunities</li><li>
College Savings Program</li><li>
Union Benefits for eligible titles</li><li>
Multiple employee discounts programs</li><li>
Commuter Benefits Programs</li></ul>
</div></div></div></div><div><div><h2 class="jobSectionHeader"><b>How To Apply</b></h2><div><br>
<div><div>
</div><p>If you wish to apply for this position, please apply online by clicking the &quot;Apply for Job&quot; button.</p></div></div></div></div></div>

Contract Attorney

NYC Department of Housing Preservation & Development

<div>
 <strong>
  About The Agency
  <br/>
  <br/>
 </strong>
 The New York City Department of Housing Preservation Development (HPD) promotes quality and affordability in the city's housing, and diversity and strength in the city&rsquo;s neighborhoods because every New Yorker deserves a safe, affordable place to live in a neighborhood they love.
 <br/>
 <br/>
 <ul>
  <li>
   We maintain building and resident safety and health
  </li>
  <li>
   We create opportunities for New Yorkers through housing affordability
  </li>
  <li>
   We engage New Yorkers to build and sustain neighborhood strength and diversity.
   <br/>
   <br/>
  </li>
 </ul>
 HPD is entrusted with fulfilling these objectives through the goals and strategies of &ldquo;Housing Our Neighbors: A Blueprint for Housing and Homelessness,&rdquo; Mayor Adams&rsquo; comprehensive housing framework. To support this important work, the administration has committed $5 billion in new capital funding, bringing the 10-year planned investment in housing to $22 billion the largest in the city&rsquo;s history. This investment, coupled with a commitment to reduce administrative and regulatory barriers, is a multi-pronged strategy to tackle New York City&rsquo;s complex housing crisis, by addressing homelessness and housing instability, promoting economic stability and mobility, increasing homeownership opportunities, improving health and safety, and increasing opportunities for equitable growth.
 <br/>
 <br/>
 <strong>
  Your Team
  <br/>
  <br/>
 </strong>
 The Office of Development leads the agency&rsquo;s effort to develop affordable housing, through new construction and preservation of existing affordable housing. The Housing Incentives division offers tax credits, tax incentives, and zoning bonuses in order to facilitate affordable housing development. Housing Incentives&rsquo; Compliance and Enforcement (C&amp;E) division investigates and takes enforcement action against building owners receiving these benefits who fail to comply with applicable state and local laws, codes, and regulations, as well as agency regulatory agreements.
 <br/>
 <br/>
 <strong>
  Housing Incentives Is Composed Of Four Teams
  <br/>
  <br/>
 </strong>
 <ul>
  <li>
   Tax Incentives
  </li>
  <li>
   Tax Credits
  </li>
  <li>
   Inclusionary Housing
  </li>
  <li>
   Compliance and Enforcement
   <br/>
   <br/>
  </li>
 </ul>
 <strong>
  Your Impact
  <br/>
  <br/>
 </strong>
 As an Attorney for Housing Incentives&rsquo; Compliance and Enforcement (C&amp;E) division, you will assist in investigating and taking enforcement action against building owners receiving benefits who fail to comply with applicable state and local laws, codes, and regulations, as well as agency regulatory agreements. You will be a part of major compliance efforts, including those focusing on violations of rent registration and affordability requirements, resulting in more affordable and rent-stabilized apartments for New Yorkers, and will help supervise a team of Paralegals.
 <br/>
 <br/>
 Civil Service Title: Agency Attorney II
 <br/>
 <br/>
 <strong>
  Your Role
  <br/>
  <br/>
 </strong>
 Your role will be to assist the division in ensuring compliance of buildings with valuable benefits, under the direction of the Assistant Commissioner (AC) of Compliance &amp; Enforcement. You serve as the agency&rsquo;s subject matter expert on compliance and enforcement of tax incentives and will investigate and take enforcement action against non-compliant building owners. Cases focus on violations of statutory requirements, including, but not limited to, rent registration and affordability requirements, as well as violations of Regulatory Agreements. These investigations regularly involve coordination with other city and state agencies; you may assist the AC in liaising with these agencies. Additionally, the attorney will investigate allegations that are referred from both internal and external sources. The attorney will also participate in drafting and reviewing legislation that affects the division&rsquo;s compliance and enforcement efforts. Additionally, you will assist the Assistant Commissioner and other senior staff with agency reporting requirements on compliance cases handled by the division.
 <br/>
 <br/>
 <strong>
  Your Responsibilities Include, But Are Not Limited To
  <br/>
  <br/>
 </strong>
 <ul>
  <li>
   Receive and analyze complaints of non-compliance from within HPD, including Inclusionary Housing and Tax Incentive Programs, and from outside HPD, to determine whether sanctions or other penalties such as a revocation of benefits should be imposed
  </li>
  <li>
   Investigate complaints by collecting facts from public sources, property owners, and residents
  </li>
  <li>
   Make legal recommendations as to extent of violations and appropriate remedies
  </li>
  <li>
   Prepare appropriate legal documents to prosecute violations or revoke benefits
  </li>
  <li>
   Resolve cases through negotiated settlement, administrative proceedings or, with other agencies, court proceedings, including a small number of appearances before OATH
  </li>
  <li>
   Serve as the primary point of contact for owners, owners' counsel and residents of properties that are the subject of assigned cases
  </li>
  <li>
   Regularly report status of cases to the Assistant Commission and other senior staff members
  </li>
  <li>
   Work with Division support staff to update and maintain tracking and case management systems
  </li>
  <li>
   Become well-versed in program policies and regulations and provide input to the Assistant Commissioner about processes that would strengthen enforcement cases
  </li>
  <li>
   Supervise Paralegals and/or Assistant Project Managers
  </li>
  <li>
   Assist the Assistant Commissioner in producing an annual report with a list of buildings for which benefits have been revoked
   <br/>
   <br/>
  </li>
 </ul>
 <strong>
  Preferred Skills
  <br/>
  <br/>
 </strong>
 <ul>
  <li>
   A JD and at least one year of civil litigation or regulatory enforcement experience subsequent to admission to the New York bar
  </li>
  <li>
   Experience with tax or real estate matters is a plus
  </li>
  <li>
   Excellent verbal and written communication skills
  </li>
  <li>
   Strong interpersonal, creative problem-solving, and organizational skills
  </li>
  <li>
   Superior analytical and research skills and attention to detail
  </li>
  <li>
   Ability to work productively and collaboratively as part of a team
  </li>
  <li>
   Demonstrated ability to work independently
  </li>
  <li>
   Excellent judgment and decision-making skills
  </li>
  <li>
   Demonstrated ability to meet deadlines and manage cases and projects in a timely manner
  </li>
  <li>
   Willingness to learn on the job, exhibit a high degree of initiative in managing multiple priorities simultaneously in a fast-paced, deadline-driven, detail-oriented work environment
  </li>
  <li>
   Strong facility with Microsoft Office Suite (Word, Excel, PowerPoint and Outlook)
  </li>
  <li>
   Preference will be given to candidates with experience working for or with government agencies and government programs related to affordable housing compliance
   <br/>
   <br/>
  </li>
 </ul>
 AGENCY ATTORNEY - 30087
 <br/>
 <br/>
 <strong>
  Minimum Qualifications
  <br/>
  <br/>
 </strong>
 <ul>
  <li>
   Admission to the New York State Bar; and either "2" or "3" below.
  </li>
  <li>
   One year of satisfactory United States legal experience subsequent to admission to any state bar; or
  </li>
  <li>
   Six months of satisfactory service as an Agency Attorney Interne (30086).
   <br/>
   <br/>
  </li>
 </ul>
 Incumbents must remain Members of the New York State Bar in good standing for the duration of this employment.
 <br/>
 <br/>
 <strong>
  In Addition To Meeting The Minimum Qualification Requirements
  <br/>
  <br/>
 </strong>
 To be assigned to Assignment Level (AL) II, candidates must have one year of experience at Assignment Level I or two years of comparable legal experience subsequent to admission to the bar, in the areas of law related to the assignment. To be assigned to AL III candidates must have two years of experience in Assignment Levels I and/or II or three years of comparable legal experience subsequent to admission to the bar, in the areas of law related to the assignment.
 <br/>
 <br/>
 Public Service Loan Forgiveness
 <br/>
 <br/>
 As a prospective employee of the City of New York, you may be eligible for federal loan forgiveness programs and state repayment assistance programs. For more information, please visit the U.S. Department of Education&rsquo;s website at https://studentaid.gov/pslf/.
 <br/>
 <br/>
 Residency Requirement
 <br/>
 <br/>
 New York City Residency is not required for this position
 <br/>
 <br/>
 Additional Information
 <br/>
 <br/>
 The City of New York is an inclusive equal opportunity employer committed to recruiting and retaining a diverse workforce and providing a work environment that is free from discrimination and harassment based upon any legally protected status or protected characteristic, including but not limited to an individual's sex, race, color, ethnicity, national origin, age, religion, disability, sexual orientation, veteran status, gender identity, or pregnancy.
</div>


Junior Attorney

Bank of America

<div><p><b>Job Description:</b></p><p></p><p>
At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day.<br>
<br>
Being a Great Place to Work is core to how we drive Responsible Growth. This includes our commitment to being an inclusive workplace, attracting and developing exceptional talent, supporting our teammates&rsquo; physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve.<br>
<br>
Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations.<br>
<br>
At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us!</p><p><b><br>
Job Description:</b><br>
The Global Control Room (GCR) has a business-critical role to mitigate legal, compliance and reputational risk within the firm and is responsible for managing the flow of Material Non-Public Information between different areas within Global Banking, Global Markets &amp; International business lines. GCR also plays a key role in assisting lines of business in implementing, monitoring, testing, and enforcing the Enterprise Information Wall Policy.</p><p></p><p>
We are seeking to hire a Control Room Manager who will be responsible for leading the Americas (covering US, Canada, and Latin America) Control Room function, ensuring compliance with applicable laws and regulations, and upholding the firm&rsquo;s information barrier framework. This role involves managing day-to-day control room operations, supervising a regional team, and partnering with business leaders, compliance officers, and global counterparts to ensure consistent practices across the firm.</p><p></p><p>
This job is responsible for executing second line of defense compliance and operational risk oversight for a Front Line Unit, Control Function, and/or Third Parties. Key responsibilities include ensuring requirements of the Global Compliance Enterprise Policy, the Operational Risk Management Enterprise Policy (collectively &ldquo;the Policies&rdquo;), the Compliance and Operational Risk Management Program and Standard Operating Procedures are implemented and identifying, challenging, escalating, and mitigating risks in a timely manner.</p><p></p><p><b>
Responsibilities:</b></p><ul><li>
Manage the Americas control room function, including oversight of restricted lists, watch lists, global research reports, wall-crossings, MNPI (Material Non-Public Information), trade surveillance, and trade preclearance.</li><li>
Supervise and manage (10-12) Americas control room members, providing training, performance management, and leadership support.</li><li>
Serve as primary point of contact for control room matters within the Americas region, liaising with regulators, business leaders, and other stakeholders as needed.</li><li>
Implement and maintain global policies and procedures to ensure consistent application of information barrier controls.</li><li>
Oversee daily operational controls, including deal team monitoring, conflicts management, and restricted list maintenance.</li><li>
Partner with legal, compliance, and business teams to assess risks related to transactions, research publications, and market activities.</li><li>
Identify process enhancements and lead regional initiatives to improve control room efficiency and effectiveness.</li><li>
Support global control room leadership on cross-regional projects and regulatory inquiries.</li><li>
Assesses risks and effectiveness of Front Line Unit (FLU) processes and controls to ensure compliance with applicable laws, rules, and regulations, while responding to regulatory inquiries, other audits, and examinations</li><li>
Engages in activities to provide independent compliance and operational risk oversight of FLU or Control Function (CF) performance and any related third party/vendor relationships in alignment with the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy (collectively the Policies) and the Compliance and Operational Risk Management Program and Standard Operating Procedures</li><li>
Identifies and escalates problems or issues that arise and drives actions to address the root causes that lead to compliance risk issues and/or operational risk losses</li><li>
Manages inventory of processes, risks, controls, and associated metrics for risk appetite and limits, reporting violations of compliance or regulatory activities</li><li>
Assists in the development of independent risk management reporting for respective area(s) of coverage as input into country/regional governance and management routines</li><li>
Analyzes and interprets applicable laws, rules, and regulations to provide clear and practical advice to stakeholders, and identify and manage risks</li><li>
Reviews and challenges FLU/CF process, risk, Single Process Inventory, and FLU/CF Risk and Control Self-Assessment related to themes or trends, while monitoring the regulatory environment to identify regulatory changes applicable to area(s) of coverage</li></ul><p></p><p><b>
Managerial Responsibilities:</b><br>
This position may also have responsibilities for managing associates. At Bank of America, all managers at this level demonstrate the following responsibilities, in addition to those specific to the role, listed above.</p><ul><li>
Opportunity &amp; Inclusion Champion: Models an inclusive environment for employees and clients, aligned to company Great Place to Work goals.</li><li>
Manager of Process &amp; Data: Demonstrates deep process knowledge, operational excellence and innovation through a focus on simplicity, data based decision making and continuous improvement.</li><li>
Enterprise Advocate &amp; Communicator: Communicates enterprise decisions, purpose, and results, and connects to team strategy, priorities and contributions.</li><li>
Risk Manager: Ensures proper risk discipline, controls and culture are in place to identify, escalate and debate issues.</li><li>
People Manager &amp; Coach: Provides inspection, coaching and feedback to motivate, differentiate and improve performance.</li><li>
Financial Steward: Actively manages expenses and budgets in alignment with objectives, making sound financial decisions.</li><li>
Enterprise Talent Leader: Assesses talent and builds bench strength for roles across the organization.</li><li>
Driver of Business Outcomes: Delivers results by effectively prioritizing, inspecting and appropriately delegating team work.</li></ul><p></p><p><b><br>
Required Qualifications:</b></p><ul><li>
Bachelor&rsquo;s degree in Finance, Law, Business, or related field (advanced degree or certification a plus).</li><li>
10+ years&rsquo; experience preferably in a similar role, covering fundamental equity, credit, capital markets or similar products.</li><li>
Practical knowledge and experience of deal structures such as IPOs, secondary offerings, PIPEs, debt offerings, mergers and acquisitions, private placements, and rights issues.</li><li>
Experience in maintaining control room restrictions, providing research guidance and providing leadership in a high risk environment.</li><li>
Strong understanding of securities regulations (e.g., SEC, FINRA, FCA, IIROC, CVM, etc.) and global compliance frameworks.</li><li>
Demonstrated leadership skills with prior experience managing teams.</li><li>
Excellent communication, analytical, and problem-solving skills.</li><li>
Ability to manage competing priorities and operate in a fast-paced, global environment.</li><li>
High ethical standards and sound judgment in handling time sensitive information.</li></ul><p></p><p><b>
Preferred Skills:</b></p><ul><li>
Control Room workflow experience or related knowledge; transferable skills.</li><li>
Knowledge of investment banking, capital markets, and research functions.</li><li>
Familiarity with surveillance and compliance monitoring systems.</li></ul><p></p><p><b>
Skills:</b></p><ul><li>
Advisory</li><li>
Monitoring, Surveillance, and Testing</li><li>
Regulatory Compliance</li><li>
Reporting</li><li>
Risk Management</li><li>
Critical Thinking</li><li>
Influence</li><li>
Interpret Relevant Laws, Rules, and Regulations</li><li>
Issue Management</li><li>
Policies, Procedures, and Guidelines Management</li><li>
Business Process Analysis</li><li>
Decision Making</li><li>
Negotiation</li><li>
Process Management</li><li>
Written Communications</li></ul><p></p><p><b>
Shift:</b></p>
1st shift (United States of America)<p></p><p><b>
Hours Per Week:</b></p>
40</div><p></p>

Compliance & Operational Risk Manager - Americas Control Room Manager

<div><p>We are the leading provider of professional services to the middle market globally, our purpose is to instill confidence in a world of change, empowering our clients and people to realize their full potential. Our exceptional people are the key to our unrivaled, culture and talent experience and our ability to be compelling to our clients. You&rsquo;ll find an environment that inspires and empowers you to thrive both personally and professionally. There&rsquo;s no one like you and that&rsquo;s why there&rsquo;s nowhere like RSM.</p><p></p><p>
As an AML and Regulatory Compliance specialist, you will be joining our rapidly growing Risk Consulting practice, assisting clients in managing operational, financial, and technology risks as well as designing and implementing process improvements that can lead to increased value, revenue, or cost containment. Risk &amp; Regulatory consultants help clients understand and address clients&rsquo; enterprise regulatory risk.</p><p></p><p>
The Director-level position will work with Partners, Directors, marketing specialists and business development professionals to increase opportunities for delivering AML and regulatory compliance services and assisting in building the regulatory compliance practice using their knowledge, expertise, talent and industry connections. Risk and Regulatory Consulting provides end-to-end advisory services to executives and boards that are designed to help create and protect value, and increase effective management of strategic, regulatory, financial, operational, and compliance risks on a sustained basis. Through this practice we offer clients the solutions of: design of regulatory compliance programs, regulatory risk management programs, mock regulatory reviews, conducting independent compliance reviews on behalf of regulators and management, supporting internal audit functions in internal audits of compliance, supporting ongoing quality control mechanisms and developing compliance policies, procedures and methodologies along with remediation projects to address internal or regulatory improvement efforts. The firm uses established and regulatory-based compliance frameworks to deliver sound risk assessment strategy advice. Our approach, developed through years of experience, is designed to identify, measure and reduce the regulatory compliance vulnerabilities our clients face.</p><p></p><p>
We know tools and techniques only go so far in exposing risk to our clients and that our success depends upon the strength of our consultants. A sound environment in regulatory compliance can be achieved by our clients by using our deep bench of experienced consultants, equipped with the latest regulatory requirements, industry best practices, and subject matter expertise. You will help lead business development activities and provide oversight on client engagements. You will be responsible for contributing to a regional team of regulatory compliance professionals that will deliver our services and enhance our national brand in regulatory compliance. You will also operate as a key member of our regional and national regulatory compliance network. If you enjoy working with clients and colleagues to improve business effectiveness, create sustainable efficiencies, add value by matching Firm capabilities with client needs, and expand our world class consulting organization, then we invite you to help drive our growth in regulatory compliance.</p><p></p><p>
Responsibilities Include:</p><ul><li>
Assist in managing financial strategy planning, development, execution and achievement of defined financial plan objectives</li><li>
Serve as a key &ldquo;market-facing&rdquo; member of our team by leading growth activities for Risk Advisory Service offerings with specific emphasis on AML and regulatory compliance services. Promote cross selling and integration of service lines of business.</li><li>
Lead efforts in identifying and retaining new client relationships through business development and existing or new industry connections</li><li>
Contribute to strong client relationships through positive client support, sound expertise and project quality control</li><li>
Work individually and as part of a team to provide project execution on client engagements</li><li>
Use proven tools and techniques to execute project deliverables in a manner congruent with our client&rsquo;s business objectives</li><li>
Manage engagement fundamentals (e.g., realization, utilization, leverage, accounts receivable, and expenses)</li><li>
Mentor, coach, and train staff and attract, develop, and retain talent</li><li>
Heighten the firm brand by demonstrating thought leadership and embracing the firm marketing campaign and programs supported by the firm</li><li>
Team with other lines of business to provide comprehensive solutions to meet clients&rsquo; needs</li><li>
Collaborate regionally and nationally on workforce deployment and utilization</li></ul><p></p><p>
Basic Qualifications:</p><ul><li>
10+ years&rsquo; experience with federal regulatory compliance laws and regulations in a financial institution, specialty finance, financial services, regulatory agency, or consulting capacity</li><li>
Bachelor&rsquo;s degree</li><li>
Excellent verbal, written, and interpersonal communication skills</li></ul><p></p><p>
Preferred Qualifications:</p><ul><li>
Proven experience in marketing, business development and sales of AML and regulatory compliance services to financial institutions, specialty finance and/or financial services companies as part of a professional services organization</li><li>
Application of AML and regulatory compliance expertise in a consulting, financial institution, specialty finance, financial services or regulatory environment</li><li>
Master&rsquo;s degree in business, a law degree or equivalent consulting industry experience</li><li>
Practice development and management, marketing, and thought leadership</li><li>
Significant experience in managing client relationships and leveraging them into new business advisory opportunities</li><li>
Professional certification such as CRCM or CAMS</li><li>
Ability to travel</li></ul><p></p><p>
At RSM, we offer a competitive benefits and compensation package for all our people. We offer flexibility in your schedule, empowering you to balance life&rsquo;s demands, while also maintaining your ability to serve clients. Learn more about our total rewards at https://rsmus.com/careers/working-at-rsm/benefits.</p><p></p><p>
All applicants will receive consideration for employment as RSM does not tolerate discrimination and/or harassment based on race; color; creed; sincerely held religious beliefs, practices or observances; sex (including pregnancy or disabilities related to nursing); gender; sexual orientation; HIV Status; national origin; ancestry; familial or marital status; age; physical or mental disability; citizenship; political affiliation; medical condition (including family and medical leave); domestic violence victim status; past, current or prospective service in the US uniformed service; US Military/Veteran status; pre-disposing genetic characteristics or any other characteristic protected under applicable federal, state or local law.</p><p></p><p>
Accommodation for applicants with disabilities is available upon request in connection with the recruitment process and/or employment/partnership. RSM is committed to providing equal opportunity and reasonable accommodation for people with disabilities. If you require a reasonable accommodation to complete an application, interview, or otherwise participate in the recruiting process, please call us at 800-274-3978 or send us an email at careers@rsmus.com.</p><p></p><p>
RSM does not intend to hire entry level candidates who will require sponsorship now OR in the future (i.e. F-1 visa holders). If you are a recent U.S. college / university graduate possessing 1-2 years of progressive and relevant work experience in a same or similar role to the one for which you are applying, excluding internships, you may be eligible for hire as an experienced associate.</p><p></p><p>
RSM will consider for employment qualified applicants with arrest or conviction records in accordance with the requirements of applicable law, including but not limited to, the California Fair Chance Act, the Los Angeles Fair Chance Initiative for Hiring Ordinance, the Los Angeles County Fair Chance Ordinance for Employers, and the San Francisco Fair Chance Ordinance. For additional information regarding RSM&rsquo;s background check process, including information about job duties that necessitate the use of one or more types of background checks, click here.</p><p></p><p>
At RSM, an employee&rsquo;s pay at any point in their career is intended to reflect their experiences, performance, and skills for their current role. The salary range (or starting rate for interns and associates) for this role represents numerous factors considered in the hiring decisions including, but not limited to, education, skills, work experience, certifications, location, etc. As such, pay for the successful candidate(s) could fall anywhere within the stated range.</p><p></p>
Compensation Range: $126,500 - $254,700<p></p><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p>
Individuals selected for this role will be eligible for a discretionary bonus based on firm and individual performance.</p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>

Director, Regulatory Compliance

Explore 99+ Attorney securities regulatory advisory in New York United States this November. Find roles across top companies and apply now to boost your career.