Company Profile

We are seeking someone to join our team as a Coverage Assessment Officer in Global Financial Crimes - Strategy to serve as a Risk and Controls Assessment (RCA) lead. In the Legal Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is a Vice President level position within the GFC Strategy Team. This individual will be responsible for owning and continuously enhancing ...

We are seeking someone to join our team as a Global Financial Crimes (GFC): KYC - Client Risk Ranking, Negative News Screening Professional. In the Legal Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is an Associate level position within the KYC Controls team where you will assist with development and optimization of the KYC Controls program, including the Enterprise ...

VP Attorney - Field Advisory Legal The Attorney will be a point of legal contact on a wide variety of legal issues arising in the Wealth Management business for broker/dealer field personnel, including call center personnel, Regional and Complex Management, Divisional, Regional and Complex Risk Officers, and Home Office personnel. The Attorney will be responsible for conducting legal research and drafting memos, drafting letters to clients on behalf of field management, and negotiating and ...

he Attorney will be a point of legal contact on a wide variety of legal issues arising in the Wealth Management business for broker/dealer field personnel, including call center personnel, Regional and Complex Management, Divisional, Regional and Complex Risk Officers, and Home Office personnel. The Attorney will be responsible for conducting legal research and drafting memos, drafting letters to clients on behalf of field management, and negotiating and drafting a variety of client-facing ...