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compliance and regulatory attorney

TBG | The Bachrach Group

<div>
 
 We are seeking an attorney with experience with compliance and regulatory matters for an in-house opportunity.
 
 
 
 
 
 Role requires experience with direct lending, structured finance or alternatives.
 
 
 
 
 
 Responsibilities include handling legal and compliance matters in the asset-based financing space including managing due diligence, ensuring compliance, and managing risk.
 
 
 
 
 
 Role offers a hybrid schedule, full benefits package and opportunity for growth.
 
 
 
 
 
 Base salary 175-250K
 
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Compliance and Regulatory Attorney

Atlantic Group

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 Location: New York, NY
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 Type: Perm (Contingency)
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 Job #46301
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 Salary: $100,000
 
 
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 Job Overview &ndash; Associate Attorney (Transactional):
 
 
 Compensation: $100,000 &ndash; $120,000/year + bonus
 
 
 Location: New York, NY
 
 
 Schedule: Monday to Friday (In-Office)
 
 
 
 Join our client as an Associate Attorney (Transactional) in New York, NY, focusing on estate planning, real estate, and corporate matters. You will draft wills, trusts, powers of attorney, prenuptial and postnuptial agreements, and settlement documents while conducting legal research, advising clients, and supporting senior attorneys. This role is ideal for attorneys seeking to build expertise in estate planning and transactional law.
 
 
 
 Responsibilities as the Associate Attorney (Transactional):
 
 
 
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 Document Preparation: Draft and review wills, trusts, powers of attorney, healthcare directives, and beneficiary designations.
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 Agreements: Prepare prenuptial, postnuptial, and out-of-court settlement agreements.
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 Legal Research: Conduct research on estate planning, real estate, and corporate transactional issues.
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 Client Guidance: Advise clients on estate and transactional matters while ensuring compliance with applicable laws.
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 Collaboration: Work with senior attorneys and staff to support case strategy and client service delivery.
 
 
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 Qualifications for the Associate Attorney (Transactional):
 
 
 
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 Education: Juris Doctor (JD) from an accredited law school required.
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 Licensure: Admission to the New York State Bar required.
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 Experience: 1-3 years of experience in estate planning, real estate, or corporate law.
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 Technical Skills: Proficiency in Microsoft Office Suite and legal research platforms (LexisNexis, Westlaw).
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 Skills &amp; Attributes: Strong communication, analytical, and organizational skills with a detail-oriented and client-focused approach.
 
 
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 Application Notice:
 
 Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.
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Associate Attorney (Transactional)

Fernridge Group

<div>
 
 Legal Associate &ndash; Asset Management (Alternative Credit)
 
 
 
 Location:
 
 New York, NY (in office)
 
 
 
 Experience:
 
 3+ years post JD
 
 
 
 
 
 About the Firm
 
 
 Our client is a growing, credit-focused asset manager managing approx. $1B in AUM and actively fundraising (they are also backed by a reputable PE shop). The firm invests across a range of alternative credit strategies, including CLOs and ABS, with an entrepreneurial and collaborative culture that offers strong visibility and impact.
 
 
 
 
 
 Position Overview
 
 
 Counsel will work in the Legal &amp; Compliance team, reporting to the General Counsel, and support senior investment professionals and the firm&rsquo;s business units across a wide range of corporate, client (SMAs, private and registered funds), and transactional matters. This is a hands-on role ideal for a motivated junior attorney looking to gain broad in-house exposure within a sophisticated credit platform.
 
 
 
 
 
 Key Responsibilities
 
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 Review, draft, and manage client and fund documentation, service agreements, and corporate contracts.
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 Assist with the negotiation and execution of various agreements, including vendor and service provider contracts.
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 Support legal and operational processes related to fundraising, compliance, and entity formation.
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 Handle KYC/AML documentation and related administrative legal tasks.
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 Conduct legal research and support internal governance documentation.
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 Liaise with external counsel and service providers as needed.
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 Qualifications
 
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 J.D. degree required.
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 3-5 years of legal experience, preferably from a law firm, finance, or in-house (preferably asset management).
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 Exposure to fund formation, credit, or structured products is a plus, but not required.
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 Strong organizational and communication skills, attention to detail, and willingness to work in a fast-paced environment.
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 Proactive, resourceful, and eager to learn the inner workings of a growing investment firm.
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 Why This Role
 
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 Join a lean, entrepreneurial legal team where your work is visible and valued.
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 Gain exposure to a wide range of fund, credit, and corporate matters.
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 Excellent opportunity for a junior attorney to transition from firm to in-house within a growing alternative asset manager.
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Legal Counsel

Law Firm

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 In-House Litigation Attorney
 
 
 
 Manhattan company with a large litigation/trial-oriented consulting practice is seeking an experienced contract litigation attorney for an on-going temporary/temp-to-permanent position. The right individual has 4+ years&rsquo; commercial or securities litigation experience, preferably someone from Biglaw who worked on large litigation cases, including running discovery, and who can also write a brief with minimal course corrections, and otherwise has exceptional research/writing skills. Prior work taking matters to trial is a major plus!This temporary/temp-to-permanent engagement is full-time (4/1 hybrid -Fridays remote). The Company has also converted contract attorneys to permanent in-house attorneys recently, with salaries in the lower to mid $200K+ range and bonuses that put the average salary in the $300K range. Please send resume for immediate consideration.
 
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In-House Litigation Attorney

Tata Consultancy Services (TCS)

Job Title: Audit ConsultantLocation: New York, NY - onsite Duration: 6 monthsTCS is seeking an experienced Consultant to support our engagement with A leading Banking client in New York city. This role will lead audit engagements, provide consulting support, and ensure compliance across Prime Funds operations globally. The ideal candidate brings deep asset management expertise with the ability to partner with senior stakeholders and drive complex audit initiatives.KEY RESPONSIBILITIESAudit Execution (40%) &middot; Lead comprehensive audits of Global Prime Funds operations (fund administration, portfolio management, compliance, trading, operations) &middot; Plan and execute audit engagements across multiple jurisdictions (US, EMEA, APAC) &middot; Assess key risks: liquidity, credit, operational, and regulatory compliance &middot; Execute testing per SOC 1/2, ISAE 3402, SEC Rule 2a-7, and MMFR standards &middot; Document findings, prepare audit reports, and present to senior management &middot; Manage 4-6 major audits annuallyRegulatory &amp; Compliance (30%) &middot; Ensure Prime Funds compliance with SEC Investment Company Act, Rule 2a-7, FINRA rules &middot; Monitor regulatory developments and assess impact on audit approach &middot; Evaluate compliance programs: NAV calculations, shadow pricing, liquidity assessments &middot; Support regulatory examinations (SEC, FINRA, FCA, MAS) &middot; Review Form N-MFP, Form PF, and regulatory submissionsConsulting &amp; Advisory (20%) &middot; Provide strategic consulting on control design, process improvement, and risk mitigation &middot; Advise on new products, technologies, and operational changes &middot; Conduct pre-implementation reviews and risk assessments &middot; Serve as subject matter expert for Prime Funds operationsStakeholder Management (10%) &middot; Partner with Portfolio Management, Operations, Compliance, Risk, and Technology teams &middot; Present findings to C-suite executives and Board committees &middot; Collaborate with external auditors and Fund BoardsREQUIRED QUALIFICATIONSEducation &amp; Certifications &middot; Bachelor's degree in Accounting, Finance, or related field &middot; CPA, CIA, CISA, or CFA requiredExperience &middot; 8+ years audit experience in asset management; 3+ years in money market/prime funds &middot; 3+ years in Big 4, internal audit, or consulting at senior/manager level &middot; Experience leading complex audits in global organizations &middot; Proven C-suite stakeholder managementTechnical Expertise &middot; Asset management operations (front/middle/back office) &middot; Money market fund regulations (SEC Rule 2a-7, Money Market Fund Reform) &middot; Fund accounting, NAV calculations, pricing methodologies &middot; Risk management frameworks (COSO, COBIT) &middot; Financial instruments (repos, commercial paper, CDs, treasuries) &middot; Audit tools (ACL, IDEA, Tableau, TeamMate)Core Competencies &middot; Strong analytical and problem-solving skills &middot; Excellent written/verbal communication &middot; Advanced Excel and data analytics &middot; Ability to manage multiple priorities &middot; Experience in matrix organizationsPREFERRED QUALIFICATIONS &middot; MBA or Master's in Accounting/Finance &middot; 10+ years total experience with 5+ years in asset management &middot; Big 4 asset management practice experience &middot; Knowledge of UCITS and international money market fund regulations &middot; SQL, Python, or advanced analytics experience&lt;Overview&gt;Job Types: Full-time, ContractPay: $48.00 - $50.00 per hourExpected hours: 8 per weekWork Location: In person

IT Audit Consultant

Boston Hale

<div>
 
 
 Innovation Attorney
 
 
 
 
 
 
 I'm partnering with a leading professional services firm to recruit an
 
 Innovation Attorney
 
 to support the evolution of how legal services are delivered across the organisation.
 
 
 This role is well suited to a practising lawyer / former practising lawyer who enjoys combining legal expertise with process improvement and technology-enabled change.
 
 
 
 
 
 You'll work closely with senior lawyers, business stakeholders and technical teams to identify friction points in transactional work, design practical solutions, and see them through from concept to adoption.
 
 
 The position offers genuine exposure to strategic decision-making and the opportunity to shape more efficient, scalable ways of working.
 
 
 
 
 
 
 Key Responsibilities
 
 
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 Develop and maintain an innovation and product roadmap aligned with practice priorities
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 Partner with lawyers to identify unmet needs and opportunities for improvement
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 Translate legal workflows into clear requirements for technology or process solutions
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 Evaluate, pilot and implement legal technology tools and workflow enhancements
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 Lead rollouts, adoption initiatives and user enablement activities
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 Manage external vendors and support data-driven performance tracking
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 Candidate Requirements
 
 
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 J.D. qualified
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 At least 2 years' experience in a large law firm, ideally in corporate or finance work
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 Demonstrated interest in legal innovation, operations or technology
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 Ideally worked in a Big Law firm delivering Innovation projects, or a Consultancy firm that have delivered multiple technical transformations for Law Firms / Legal Departments
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 Strong stakeholder engagement and communication skills
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 Ability to manage multiple initiatives in a fast-paced environment
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 Detail-oriented, proactive, and comfortable seeing projects through end-to-end
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 This role follows a hybrid working model and requires regular in-office presence 3 days a week in their Manhattan or Boston offices
 
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Innovation Attorney

Adoptive and Foster Family Coalition of New York

Title: Staff AttorneyLocation: Remote within New York State (Occasional in-person court appearances)Education level: Law Degree (J.D.)About AFFCNY: The Adoptive and Foster Family Coalition of New York was founded in 1975 as the New York State Citizens Coalition. The Coalition provides support, information and advocacy for foster, kinship and adoptive families in the Empire State and the professionals who serve them.AFFCNY offers a wide variety of programs and services, including:<ul><li>LIFT-UP: Statewide legal support program providing free legal consultations, training, and impactful direct representation.</li><li>The Helpline: the only free statewide, 24/7 helpline for foster parents, adoptive parents, kinship guardians, and professionals.</li><li>Adoption and Guardianship Assistance Program for Everyone (AGAPE): a signature program providing post-adoption and guardianship services including assessment, counseling, referrals, case management and in-home support, advocacy, parent support groups and mentors, and resources.</li><li>Foster and Kinship Care Support Program: where caregivers can get questions answered, receive help solving problems, or obtain training.</li><li>Adoption and Foster Care Therapist Network: The network promotes clinical training opportunities for mental health professionals to become competent in these areas, maintain a vetted list of adoption-competent therapists, and cover the costs of therapy for families in need.</li><li>Systems Change Advocacy: Through public speaking, media outreach, and work with legislative and child welfare leaders, AFFCNY works to improve and reform the New York system.</li></ul>Position Overview: The Staff Attorney will advance AFFCNY&rsquo;s systems change mission by focusing on one of the most urgent injustices in New York&rsquo;s child welfare system: unnecessary removals of children from long-term or pre-adoptive foster homes. This role will work directly with families impacted by harmful removal decisions while collaborating with statewide partners to develop policy and legal strategies that safeguard stable caregiving relationships. The attorney will also play a key role in supporting and expanding our Lift-Up program, ensuring caregivers have access to knowledgeable legal guidance when placement stability is at risk. The ideal candidate is passionate about keeping children safe, supported, and connected; comfortable navigating both legal advocacy and relationship-based policy engagement; and eager to help transform New York&rsquo;s foster care landscape.Key Responsibilities:<ul><li>Provide legal assistance, counsel, and advocacy to resource families facing removal actions, including guidance on fair hearings, Article 78 relief, and other legal avenues.</li><li>Develop and implement statewide policy strategies to strengthen caregiver rights and placement stability protections.</li><li>Conduct legal research and draft memos, policy briefs, testimony, and model pleadings.</li><li>Support Helpline, AGAPE, and Lift-Up program intake by advising on removal-related issues statewide.</li><li>Train attorneys, social workers, and caregivers on legal rights and emerging reforms.</li><li>Work closely with agencies, legislators, and child welfare stakeholders to promote systemic improvement.</li><li>Track county practices, decisions, and trends in removal cases to inform reform strategies.</li><li>Represent AFFCNY as a subject-matter expert in public forums, working groups, and legislative advocacy.</li><li>Perform other duties or special projects as directed by supervisor</li></ul>Qualifications and Requirements:<ul><li>J.D. and admission to practice law in New York State required.</li><li>5+ years of experience in child welfare, family defense, appellate advocacy, or related field strongly preferred.</li><li>Knowledge of ACS/OCFS regulations, fair hearing procedures, and Family Court practice a plus.</li><li>Exceptional written and verbal advocacy skills.</li><li>Demonstrated commitment to racial equity and family integrity.</li><li>Ability to work independently and as part of a collaborative team.</li><li>Willingness to travel occasionally within New York State. </li></ul>Salary: Competitive, commensurate with experience.Commitment to Diversity and Inclusion: AFFCNY is proud to be an equal-opportunity employer. Our goal is to attract qualified candidates and encourage applications from all individuals without regard to race, sex, national origin, age, disability, veteran status, marital status, sexual orientation, gender identity, or any other characteristic protected by applicable law.How to Apply: Applicants should send a cover letter, resume, and writing sample to megan@affcny.org. Please write &ldquo;Staff Attorney Position&rdquo; in the subject line of the email.Pay: $80,000.00 - $90,000.00 per yearBenefits:<ul><li>401(k)</li><li>401(k) matching</li><li>Dental insurance</li><li>Flexible schedule</li><li>Health insurance</li><li>Life insurance</li><li>Paid time off</li><li>Parental leave</li><li>Vision insurance</li></ul>Work Location: Hybrid remote in New York, NY

STAFF ATTORNEY

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