Legal jobs in Financial Services

Exciting opportunity for an Attorney with 4-10 years of experience within the registered funds legal space to join a dynamic legal team with a rapidly growing financial services client. This role is a crucial hire that will handle all registered funds legal matters.

The Senior Counsel will handle legal matters pertaining to structured products, securitizations (CLOs), and mortgage-backed securitizations (CMBS).

Senior Director level opportunity serving as point person for growing Structured Finance Group with focus on securitizations (esoteric ABS, ABS, CLOs, CMBS/RMBS).

Director, Senior Legal Counsel opening with a focus on Securitizations including ABS & esoteric ABS.

Opportunity to join investment bank as an Executive Director, Senior Counsel to support the equity sales and trading platform, with a focus on equity finance, running point on legla advisory for margin lending, equity repo, securities lending, delta-one swaps, etc.

The Paralegal Manager will lead and oversee legal operations, ensuring compliance and efficiency in supporting legal processes by leading a team of 3+ paralegals. This is a player/coach role, so this person will also support transactional legal work. A candidate should have 7+ years of experience as a corporate paralegal and experience managing people.

The Structured Products Counsel will provide broad legal coverage to the sales and trading desk, with a focus on fixed income structured products.

The Structured Investments Counsel will provide legal guidance and support for structured investment products with an asset manager. This role involves working closely with internal teams, including a structured product desk, to ensure compliance and deliver effective legal solutions.

The Director, Managing Counsel will play a key role in covering fixed income equity sales and trading for an investment bank.

The ED, Senior Managing Counsel will play a key role in covering fixed income equity sales and trading for an investment bank.

Opportunity to join investment bank as Senior Equity Finance Counsel to support the equity sales and trading platform, with a focus on equity finance, running point on legaL advisory for margin lending, equity repo, securities lending, delta-one swaps, etc.

This role supports a broad range of compliance functions, including compliance testing and monitoring, trade surveillance investigations, Code of Ethics and personal trading oversight, AML/KYC reviews, and SEC/RIA regulatory compliance. The position also involves preparing regulatory filings and documentation while partnering with business stakeholders to ensure adherence to regulatory requirements and internal policies.

This role supports a broad range of compliance functions, including compliance testing and monitoring, trade surveillance investigations, Code of Ethics and personal trading oversight, AML/KYC reviews, and SEC/RIA regulatory compliance. The position also involves preparing regulatory filings and documentation while partnering with business stakeholders to ensure adherence to regulatory requirements and internal policies.

The Assistant Corporate Secretary will provide essential, ensuring compliance with corporate governance and regulatory requirements. This role requires a meticulous and organized individual to manage key legal and administrative functions effectively. Candidates must have experience as a corporate secretary within a large, regulated institution - ideally banking, but open to experience in insurance or large publicly traded organizations as well.

The Head of US Sanctions will lead and oversee sanctions-related compliance within the financial services industry, ensuring adherence to regulatory requirements and mitigating risk in the New York office.

The Team Leader - Sanctions will oversee sanctions compliance within the risk and compliance department, ensuring adherence to regulatory requirements and mitigating potential risks. This role is based in New York and focuses on leading a team to effectively manage sanctions-related processes.

The Compliance Officer will play a critical role in ensuring adherence to regulatory standards and internal policies within the financial services industry. This position will be based in New York and focuses on managing compliance risks and promoting a culture of integrity.

The BSA EDD role in the Financial Services industry focuses on enhancing due diligence processes within the Risk & Compliance department to ensure regulatory compliance and mitigate risks effectively. Based in New York, this position requires a strategic and detail-oriented professional to support and strengthen the company's compliance framework.

Top investment bank has an opening for an entrepreneurial Director, Managing Counsel to provide business unit coverage with a focus on equity derivatives, margin loans and structured notes. The Managing Counsel will be solutions-oriented and have a strong understanding securities laws while structuring and advising on transactions for the Global Equities and Global IB businesses.

The Structured Products Counsel will provide broad legal coverage to the sales and trading desk, with a focus on fixed income structured products.

The Equity Sales and Trading Senior Counsel will play a key role in covering fixed income equity sales and trading for an investment bank. This role is supporting a fast-paced, growing sales and trading business.

The Compliance Audit Consultant will focus on ensuring adherence to regulatory requirements and internal policies within the financial services industry. This role will support the legal department in conducting audits and assessments to maintain compliance standards in New York.

The VP, Compliance Monitoring and Testing will play a key role in overseeing and enhancing the monitoring and testing framework within the financial services industry. This role ensures compliance with regulatory requirements by leading risk assessments and implementing effective testing protocols.

The Deputy Chief Compliance Officer will play a key role in overseeing compliance functions within the financial services sector. Reporting to the Chief Compliance Officer, this role focuses on ensuring adherence to regulatory requirements and supporting the organization's risk management framework.

The Regulatory Change Management AI role in New York focuses on driving compliance in the Financial Services industry by managing regulatory changes and ensuring adherence to standards within the Risk & Compliance department.

The Compliance Analyst (AVP Level) will play a key role in ensuring adherence to regulatory requirements within the financial services industry. Based in New York, this role supports the Risk & Compliance department by monitoring compliance programs and identifying areas for improvement.

The VP, Regulatory Relations will oversee and manage interactions with regulatory agencies to ensure compliance within the financial services industry. This role plays a critical part in supporting the Risk & Compliance department in New York.

The Director, Regulatory Relations will lead and manage key interactions with regulators, ensuring compliance and fostering strong relationships within the financial services industry. Based in New York, this role will work closely with the Risk & Compliance department to support regulatory engagements and strategic initiatives.

Join a dynamic legal team at a leading global asset manager, gaining hands-on exposure to corporate governance, SEC filings, and high-profile strategic initiatives. Work closely with senior executives, board members, and legal professionals while building a strong foundation for long-term career growth.

The BSA SAR/Transaction Monitoring Analyst role focuses on managing and ensuring compliance with Bank Secrecy Act (BSA) and Suspicious Activity Reporting (SAR) requirements within the financial services industry. Based in New York, this position is critical to supporting risk and compliance efforts within the organization.