3 jobs found

Under supervision, this position supports the mission of the agency by reviewing initial licensing applications of investment advisers, including pooled investment vehicles (also referred to as “hedge funds”), and broker-dealers and their representatives. The position will also conduct examinations and investigations of investment advisers, broker-dealers and their representatives and analyze associated financial records that may lead to administrative, civil or criminal actions.  These actions advance DFI's goals of implementing and enforcing laws regulating financial institutions and consumer protection laws.         Some of What You Will Do: Complete sophisticated legal analysis of referrals received as a result of financial examinations. Draft administrative orders, statements of charges, legal memoranda and investigative reports. Negotiate settlements with corporate counsel, compliance officers, licensees and other interested parties. Investigate cases...

Nasdaq's award-winning legal group, which employs over 50 lawyers in offices in the U.S. and Europe, has a rare opportunity for an experienced, business-minded lawyer who flourishes with change and new challenges, to work as an Assistant General Counsel – Labor & Employment in our Office of General Counsel to help provide legal advice to the People Team (HR), managers, and senior leadership on all aspects of global labor/employment law. This is an outstanding opportunity to join a global leader in financial services and financial technology, guiding clients in an industry that helps us craft the global economy and rewrite tomorrow. We are looking for the following skills and experience: A J.D. with outstanding academic credentials who is an active member in good standing of at least one state bar. At least 5 years of legal experience, preferably with experience counseling corporate clients on labor/employment matters across global jurisdictions Knowledge/experience...

Capital One’s Financial Services (“FS”) Division is headquartered in Plano, Texas, and is a leader and pioneer in the auto-finance industry that specializes in delivering Ai and tech-enabled auto-finance solutions to dealerships and consumers alike. As the Senior Director, Associate General Counsel leading the Servicing Legal Team, you will lead a team and support the Servicing business across its full range of activities, including onboarding new accounts, payments, accounts in default, credit bureau reporting and complaints.  In this role, you will help to identify risks and solve problems alongside a team of world-class professionals. You will meaningfully participate in building innovative products and services as embedded legal counsel. You will find that the Legal Team is not a “check the box” function but instead an important voice and partner in all aspects of the business. You will discover a collaborative environment that values your insight, encourages you to take...