Counsel, Regulatory Resume Samples

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D Goyette

Dewayne

Goyette

9820 Rupert Islands

Dallas

+1 (555) 128 1924

9820 Rupert Islands

Dallas

Phone

p +1 (555) 128 1924

Experience Experience

Phoenix, AZ

Consumer Regulatory & Product Counsel

Phoenix, AZ

Cassin Inc

Phoenix, AZ

Consumer Regulatory & Product Counsel

Support the U.S. consumer co-brand and proprietary lending card portfolios, including product development, marketing, and new benefit constructs
Generate buy-in and develop strategic partnerships through relationship-building and effective communication
Serve as a regulatory subject matter expert, with a particular emphasis on UDAAP, TILA and FCRA, across important U.S. regulations
Direct responsibility for providing legal advice on specific projects relating to the U.S. consumer co-brand and proprietary lending card portfolios. Issues will span across product development, new acquisition and loyalty engagement programs
Close coordination with GCO and Compliance colleagues with responsibility for card marketing initiatives and loyalty programs as well as providing support to colleagues throughout GCO and Compliance on UDAAP and other US consumer regulatory issues
Provide leadership and inspiration to other highly talented individuals
Provide strategic consumer finance regulatory support across a number of important regulations (including UDAAP, TILA and FCRA) to the GCO’s U.S. legal team and to various divisions of American Express, including U.S. Consumer Products and Services, U.S. small business services and other business units

New York, NY

Counsel, Regulatory Capital Markets Policy

New York, NY

Barton, Okuneva and Fay

New York, NY

Counsel, Regulatory Capital Markets Policy

Advise the Board of Governors and standing advisory committees with respect to high-impact, legally and politically complex and sensitive regulatory initiatives and rule changes under consideration by the Board
Serve as the key source of legal expertise within FINRA in many subject areas, with an emphasis on trading and market issues, and provide independent expert advice on questions and issues in these subject areas
Prepare Board materials that contain sophisticated analyses and discussions of competing policy or political considerations necessary for informed judgment on the issues by the Board
Review and draft new rule proposals; gather and incorporate views of industry participants, other regulators, and senior staff; and prepare rule filings to the SEC
Work closely with the Office of the Chief Economist in conducting economic impact assessments of rulemakings
Meet with senior staff of SEC, industry groups and other interested parties concerning regulatory initiatives
Represent FINRA before industry and SRO inter-market groups

present

Houston, TX

Senior Corporate Counsel, Regulatory Law

Houston, TX

Swift LLC

present

Houston, TX

Senior Corporate Counsel, Regulatory Law

present

Provides support on contracting and other issues that Medical and Regulatory Affairs undertake
FDCA issues surrounding the promotion, sale and marketing of drugs, devices and biologics
Issues surrounding the proper generation and dissemination of scientific data
Data exclusivity and other lifecycle management issues
PDMA, Quality and Supply Chain state licensing and pedigree issues
Pharmacovigilance questions, preparation of REMS and Safety Data Exchange Agreements
Clinical trial operations, including and investigator GCP or misconduct issues

Education Education

Bachelor’s Degree in Original

Northwestern University

Bachelor’s Degree in Original

Skills Skills

Keep abreast of SEC, industry and other SRO initiatives, and develop and maintain strong working relationships with SEC staff and other regulators
Prepare Regulatory Notices, rule guidance and other correspondence with member firms and their outside counsel
Prepare Board materials that contain sophisticated analyses and discussions of competing policy or political considerations necessary for informed judgment on the issues by the Board
Review and draft new rule proposals; gather and incorporate views of industry participants, other regulators, and senior staff; and prepare rule filings to the SEC
Work closely with the Office of the Chief Economist in conducting economic impact assessments of rulemakings
Meet with senior staff of SEC, industry groups and other interested parties concerning regulatory initiatives
Represent FINRA before industry and SRO inter-market groups
Serve as the key source of legal expertise within FINRA in many subject areas, with an emphasis on trading and market issues, and provide independent expert advice on questions and issues in these subject areas
Conduct and oversee legal and other research into matters of regulatory policy as necessary to (a) develop rule proposals and to respond to internal and external comments, and (b) respond to interpretive and exemptive requests
Take a leadership role in identifying and presenting original, creative, innovative, and sophisticated solutions and proposals for changes to existing rules, including the elimination or reduction of unnecessary regulation and the adoption of new rules

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Senior Legal Counsel Regulatory Resume Examples & Samples

Be considered a trusted adviser to the relevant business by providing commercially sensitive, pragmatic and practical legal support and advice in a cost effective manner
Provide support and guidance to assigned departments with regard to legal risks arising in jobholder’s area of expertise
Proven and progressive corporate legal experience, or equivalent
Ability to quickly apply abstract concepts of law and make quick, innovative decisions to resolve problems

Counsel Commercial & Regulatory Resume Examples & Samples

Reviewing labeling and marketing materials for prescription drug products for compliance with applicable laws
Advise clients on issues related to advertising and promotion of pharmaceutical products
Advise on matters related to reimbursement activities, access services, patient support and assistance programs
Draft and negotiate a variety of contracts, including service agreements, consulting agreements, market research agreements, and distribution agreements
Assist with general corporate matters
Minimum of 4 years of relevant experience, preferably in-house at a pharmaceutical, biotechnology or other life sciences company, or in the life sciences practice group of a law firm
Working knowledge of FDA regulations within the pharmaceutical industry

EU Regulatory & Litigation Counsel Resume Examples & Samples

Oversee regulatory, litigation, and other contentious matters throughout Europe. Coordinate internally, conduct legal and factual research, liaise with non-legal stakeholders
Proactively build relationships with regulators and stay abreast of moves in legislation and enforcement
Manage threats against the company, whether from partners, users, or content owners. Be the primary decision-maker on responding to matters that have been escalated to Legal
Oversee and coordinate global projects relating to contentious matters

Regulatory Legal Counsel Resume Examples & Samples

You will sit with the business, and provide day to day operational support to legal queries and also proactively engage at a strategic level on legal and regulatory projects and issues that affect the UK business
You will advise senior management in the business and will be their first point of contact on legal matters. In this capacity, you will often be invited to attend and contribute to relevant management and business committees
You will instruct and manage external legal counsel where necessary and help oversee the branch's external legal budget
You will work closely with Compliance with a focus on the application of UK and EU financial regulation
A significant part of the role will be helping the UK Branch to steer through the broad set of regulatory change impacting on its business. In this regard you will also be required to provide, or arrange, in-house legal training on relevant legal and regulatory developments
English law qualified solicitor
Broad experience in international banking and finance (preferably including experience in an international law firm)
Strong experience as a Lawyer in a demanding and fast moving business environment
A desire to move into a sole legal counsel role in the Wealth Management business, with a particular focus on regulatory issues

Associate Counsel Regulatory Investigations & Inqui Resume Examples & Samples

Manage regulatory examinations and investigations involving the Firm and/or its associated persons. Responsibilities in this area include, among other things, evaluating legal and regulatory risk and exposure, reviewing draft written responses prepared by RII analysts, negotiating productions with regulators, and defending witnesses at testimony and during informal interviews
Coordinate with the Regulatory Counseling staff in connection with the rendering of legal advice and counsel to the Firm and various business units relating to the application of federal, state and SRO rules and regulations
Coordination with other groups in the Legal Department on issues, including the Litigation Group in connection with regulatory investigations and examinations that implicate threatened and actual litigation
Provide on-site counseling to branch office locations and home office business units during regulatory examinations and investigations
Serve as the Legal Department’s representative to certain standing and ad hoc Firm committees, task forces, and working groups
Licensed member of the bar, in good standing, in the state in which the attorney is located
Minimum of 10 years of securities regulatory experience; prior employment with a federal, state or SRO securities regulator is highly desirable; prior in-house experience preferred

Counsel, Regulatory Resume Examples & Samples

Anticipating emerging issues and providing flexible responses based on experience
Providing advice that protects TD's reputation and mitigates legal risk
Provide consistent, sound and practical legal advice respecting privacy law, CASL and Do Not Call matters
Develop expertise and provide support to our businesses and corporate areas in other areas of regulatory law as our needs evolve over time
Provide legal support on and contribute to the resolution of customer and other case-by-case issues relating to regulatory matters
Develop, maintain and implement legal self-help tools for the Bank's Privacy Office, other corporate areas and our businesses
Contribute to the effective and respectful resolution of conflicts between different TD stakeholders engaged in regulatory issues
Build and maintain positive working relationships by effectively communicating and regularly sharing information, learnings, and knowledge with colleagues in the Legal Department and other internal partners in internal and external business partners
A member in good standing of the Law Society of Upper Canada and with a minimum of 3 years’ working in a major law firm, financial institution or relevant regulator
Demonstrated ability to provide practical solutions to businesses in the face of regulatory complexity, and to positively influence internal partners
Strong desire and demonstrated capability to learn new areas of law to a level of mastery
Ability to work in a fast-paced, complex environment and manage multiple deadlines and competing priorities with relative independence

Senior Counsel, Regulatory Law Resume Examples & Samples

A Juris Doctor Degree and admission to (and current good standing with) the bar of at least one state or the District of Columbia and a minimum of five years post admission experience with a top law firm or comparable in-house experience in a government contracting practice is required
Strong facility working with the Federal Acquisition Regulation and agency supplements is required
Experience providing legal advice on government contracts is required, within health care industry is preferred
Excellent strategic and analytical skills, strong written communication and presentation skills, and the ability to work effectively both independently and on teams are required
This position requires up to 10% travel domestically (higher if located in Washington, D.C.)
Experience advising clients on development of legally compliant strategies, internal policy development, and compliance program support and conducting internal investigations is preferred
Working knowledge of Buy American/Trade Agreements Act, small business subcontracting limitations, cost allowability rules, Anti-Kickback status, safe harbors, False Claims Act, is preferred.Corporate Law

Senior Counsel, Regulatory Resume Examples & Samples

Advising as to the relevant laws and regulations applicable to gas, power and ngls transactions, including Dodd Frank regulations applicable to NAGP’s swap dealing activities and IST’s business generally
Supporting the negotiation and drafting of complex transactions including, long and short term gas and power purchase and sale agreements; transportation and storage agreements; asset management agreements; transmission agreements; derivative and structured product agreements; credit support arrangements such as guarantees, master netting agreements, and security agreements; and business development transactions including asset acquisitions and divestments to assure compliance with the applicable statutes and with the regulations promulgated by and policies established by the FERC and CFTC
Providing management and oversight of BP's participation in FERC and CFTC regulatory proceedings, including managing outside counsel
Assisting E&C and Regulatory Affairs in the coordination with and appearances before governmental agencies and officials, as necessary
Working with E&C and Regulatory Affairs in monitoring and evaluating proposed regulations and their impact on IST’s business, and proactively informing leadership and the business of any such impact
Developing and providing client training on gas, power and ngls regulatory matters
The position will also require cross-team collaboration and coordination of legal workload with the other internal BP Legal teams, including colleagues in Chicago, Canada, London, and Singapore, and with outside counsel
Significant experience with the applicable gas, power, and financial regulatory requirements of the CFTC (including Dodd Frank), FERC, NERC, the regional power authorities and the states in which BP does business. Experience advising natural gas merchants and power generators is preferred
Significant experience in helping to develop and implement a regulatory compliance program, including advising on Dodd Frank and other regulatory reform issues
A deep understanding of gas, power and ngls transactions and how the regulatory framework affects such transactions
The ability to manage numerous regulatory proceedings of various complexities simultaneously
Excellent oral and written communication skills, along with self-confidence, initiative, and the desire and ability to handle a complex set of challenging responsibilities
The facility for fast-paced client counseling on FERC and CFTC regulatory issues as well as negotiation, transactional and dispute resolution skills
The ability to focus and direct the efforts of internal and external legal resources to provide critical regulatory support to the business
Excellent legal and business judgment, time management, project management, political and interpersonal skills along with the drive, commitment, a bias for action and a preparedness to collaborate and innovate
Demonstrated high professional and ethical standards and a strong commitment to BP's Values and Leadership Expectations, including safety and creating a diverse and inclusive work environment
The ability to work well with clients and to advise them on important legal aspects of transactions and regulatory proceedings, with particular emphasis on CFTC, FERC and other regulatory issues
This position requires a person who is capable of independent action and sound judgment
The position will also require cross-team collaboration and coordination with other internal BP Legal teams, with colleagues around the world, and with outside counsel

Senior Corporate Counsel, Regulatory Law Resume Examples & Samples

With other members of the Regulatory Law and GBU Support group, serve as internal expert providing legal advice to clients and other internal lawyers on the application and interpretation of the Food, Drug and Cosmetic Act as well as other federal and state laws and regulations relevant to the manufacture, approval, distribution, marketing and sale of pharmaceuticals, biologics and medical devices,
A minimum of 7 years of experience working in private practice and/or in-house; experience with counseling senior business leaders; and a strong understanding of the business and legal challenges related to the regulatory environment in the pharmaceutical industry
A minimum of 7 years' legal experience including regulatory law advice in pharmaceutical/medical device context
Substantive knowledge of US laws and regulations relating to the pharmaceutical industry and privacy
7 years of post-J.D. experience, ideally including training in a law firm, combined with corporate experience (although corporate experience is preferred, but not required); agency (FDA) experience highly desired, though not required if other credentials are present
Solid working knowledge of legislative and regulatory process
Working knowledge of US Federal and state healthcare compliance considerations, including without limitation the False Claims Act, the Anti-Kickback Statute, the Transparency Provisions of the Patient Protection and Affordable Care Act (the “Sunshine Act”), and US Federal healthcare program requirements under the Food, Drug and Cosmetic Act (“FDCA”)

Counsel, Regulatory Capital Markets Policy Resume Examples & Samples

Advise the Board of Governors and standing advisory committees with respect to high-impact, legally and politically complex and sensitive regulatory initiatives and rule changes under consideration by the Board
Brief and communicate complex and sensitive regulatory initiatives to senior executives of FINRA. Must be able to provide such analyses under urgent deadlines
Serve as the key source of legal expertise within FINRA in many subject areas, with an emphasis on trading and market issues, and provide independent expert advice on questions and issues in these subject areas
Prepare Board materials that contain sophisticated analyses and discussions of competing policy or political considerations necessary for informed judgment on the issues by the Board
Review and draft new rule proposals; gather and incorporate views of industry participants, other regulators, and senior staff; and prepare rule filings to the SEC
Work closely with the Office of the Chief Economist in conducting economic impact assessments of rulemakings
Meet with senior staff of SEC, industry groups and other interested parties concerning regulatory initiatives
Represent FINRA before industry and SRO inter-market groups
Prepare Regulatory Notices, rule guidance and other correspondence with member firms and their outside counsel
Conduct and oversee legal and other research into matters of regulatory policy as necessary to (a) develop rule proposals and to respond to internal and external comments, and (b) respond to interpretive and exemptive requests
Take a leadership role in identifying and presenting original, creative, innovative, and sophisticated solutions and proposals for changes to existing rules, including the elimination or reduction of unnecessary regulation and the adoption of new rules
Serve as counsel to one or more operating departments of FINRA, providing expert-level legal advice and taking an active role in ensuring the success of departmental initiatives
Serve as primary liaison to FINRA advisory committees as assigned
Keep abreast of SEC, industry and other SRO initiatives, and develop and maintain strong working relationships with SEC staff and other regulators
Attend and speak at regulatory policy public conferences and meetings of FINRA advisory committees on areas of subject matter expertise
Lead or participate in ad hoc special projects and initiatives as requested
Provide status reports of assigned matters or projects
Develop communications as needed for Chief Legal Officer and other senior management
Provide and implement suggestions to increase efficiency and effectiveness of office procedures

Consumer Regulatory & Product Counsel Resume Examples & Samples

Regulatory subject matter expert, with a particular emphasis on UDAAP, across important U.S. regulations (e.g., TILA, FCRA, etc.)
Thought leadership on U.S. consumer regulatory issues including development and implementation of training to GCO colleagues, Compliance and business partners that is focused on UDAAP and other key regulatory issues
Act as a liaison with business teams on issues that may arise in the context of UDAAP and other regulations to assist in the development and implementation of policies, procedures and practices that respond to such issues
Direct responsibility for providing legal advice on specific projects relating to the U.S. consumer co-brand and proprietary lending card portfolios. Issues will span across product development, new acquisition and loyalty engagement programs
Close coordination with GCO and Compliance colleagues with responsibility for card marketing initiatives and loyalty programs as well as providing support to colleagues throughout GCO and Compliance on UDAAP and other US consumer regulatory issues
7+ years of consumer financial regulatory experience with a large law firm, in-house law department or consumer regulatory agency with experience in consumer regulatory policy, supervisory and/or enforcement activities
Experience applying UDAAP, the Truth in Lending Act, the Fair Credit Reporting Act, Electronic Funds Transfer Act and the Equal Credit Opportunity Act highly preferred
Excellent communications skills, in particular the ability to communicate complex concepts clearly and simply, and to present clear choices
Flexible, creative, able to manage ambiguity well, strategic thinker
Provide leadership and inspiration to other highly talented individuals
Ability and desire to take on a demanding workload and to effectively prioritize
Ability to change leadership style to different situations and influence without direct authority
Results-oriented with a strong work ethic and personal accountability
JD required; member of the New York Bar in good standing

Senior Counsel Regulatory Resume Examples & Samples

Develop an assigned subject matter expertise regarding specific legal issues or areas within the assigned Practice Category
Establish rapport and a positive working relationship with business unit management and personnel at all levels to encourage and continue the proactive use of in-house legal counsel
Identifies training needs within the organization and develops and presents training materials on relevant laws and legal/business issues
Advise on all aspects of labeling and advertising to assure compliance with the FDA and FTC requirements, as well as foreign laws and regulation
Provide legal advice to Takeda affiliates in the Americas and support Europe, Asia and Japan regarding regulatory issues relating to the affiliates’ business operations
Monitor developments in federal and state laws, regulations and industry guidance related to clinical, commercial and promotional laws, regulations, guidance and industry standards
Work with Clinical Operations regarding legal regulatory issues including but not limited to review and assessment of Informed Consent Forms (ICFs), including pharmacogenomic elements, privacy authorizations, protocol deviations
Assess and review all product labels, including label and CCDs creation and updates
Work with Government Affairs and various outside trade associations, advising and reviewing responses to policy initiatives created by federal and state agencies (FDA, CPSC, Customs) and governmental bodies (Congress and foreign Ministries of Health)
Retain and direct the activities of outside counsel, where appropriate

Lead Counsel, Privacy & Regulatory Resume Examples & Samples

Drive high-profile and high-impact projects involving stakeholders across Facebook's business, policy, legal, communications, security, and other departments
Evaluate the impact of legislative, regulatory, and industry proposals across Facebook's services and companies
Participate in the development and management of Facebook's (and its affiliates') terms and policies (especially including the Statement of Rights and Responsibilities and the Data Policy)
Interface with partners and clients regarding Facebook products, policies, practices, and guidelines
6 or more years of experience in privacy, including at a global law firm and/or prior in-house experience with internet or technology companies

Offerings & Services Regulatory Compliance Counsel Resume Examples & Samples

3 - 4 years of direct relatable experience in the Cyber-Security and Technology space
Minimum of 15 years of experience as an attorney providing services and regulatory compliance advices to the industry, including experience as a transactional attorney and at least 4 of which involved management responsibility for other legal professionals
Global knowledge in the industry(ies) and/or business(es) within his remit
Accenture Policy Awareness
Legal Regulatory Compliance Acumen

Assistant General Counsel, Regulatory Resume Examples & Samples

Significant experience in all aspects of healthcare regulation including federal and state fraud, waste and abuse laws, contracting, regulatory diligence associated with healthcare transactions, Medicare and Medicaid requirements and reimbursement, and familiarity with Privacy and Security
Provide excellent legal support for a wide-variety of healthcare regulatory issues within DaVita HealthCare Partners
Develop and implement standardized templates and processes, including new and existing written policies and procedures
Work with clients to proactively identify risks and ensure appropriate risk mitigation strategies are in place, including in the context of proposed healthcare transactions
Proactively provide updates to key stakeholders on the status of pending legal matters and projects
Understand and be able to translate into “plain English” the legal ramifications of varied legal issues and clearly and succinctly articulate the risks. Provide valuable advice and counsel within the context of the broader business and enterprise level objectives. Work with business to achieve thoughtful, successful and timely results
Successful track record of at least ten years of diverse healthcare regulatory experience
The candidate ideally has a combination of law firm and in-house experience. However, exclusively law firm-trained candidates or exclusively in-house-trained will be considered if they can demonstrate diverse substantive and sophisticated regulatory experience
Experience in positively and successfully managing relationships with a high energy, diverse group of stakeholders across organizational lines. A thoughtful, articulate and effective communicator who can distill and articulate the important aspects of any regulatory issue to a wide audience of participants
There is no “I” in team. Demonstrated ability to function as a strong member of a highly-motivated and integrated team
Demonstrated ability to simultaneously manage a variety of assignments, and oversee areas of responsibility and prioritize activities in a fast-paced, demanding environment
Able to make decisions quickly but also seek guidance when appropriate
Professional demeanor and ability to interact with persuasiveness and confidence
Able to manage successfully in highly matrixed environment
Adaptable, comfortable with uncertainty and ambiguity
A commitment to personal and professional growth and receptivity to feedback
Demonstrated accountability and keen ability to meet aggressive timeframes
Ability to build credibility quickly and provide strong legal support for complex and challenging business opportunities

Senior Counsel, Regulatory Law Resume Examples & Samples

The Senior Counsel will be responsible for advising clients on FDA regulatory matters and compliance with laws, regulations, industry standards and company policies that arise throughout the product lifecycle, including in the areas of product development, advertising and promotion, research, and quality
The Senior Counsel will also provide legal counsel on health care laws, including the Federal Anti-Kickback Statute, and related health care legal obligations and on legal requirements related to privacy and data protection
He or she will provide advice on marketing and sales activities and programs, including review of advertising and promotional materials, and will work with clients to develop appropriate and compliant strategies for interacting with healthcare providers, payors, and other stakeholders
The Senior Counsel will also advise clients on life cycle management strategies
The Senior Counsel will effectively provide and coordinate legal support in these fields, be a member of the relevant functional teams supporting assigned therapeutic area(s) and interact with business and Law Department management on these matters
He or she will engage in initiatives with trade associations and policy teams related to regulatory issues
The Senior Counsel will work closely with other Law Department colleagues to provide consistent and efficient legal support to Johnson & Johnson companies
The attorney must have a minimum of 5 years of experience advising clients on FDA regulatory matters, with a focus on pharmaceutical and biotechnology products preferred
Experience is required in the legal review of labeling materials and counseling on other aspects of regulatory strategy for product submissions and product lifecycle
Experience advising on health care compliance obligations, including the U.S. Health Care Fraud and Abuse Laws, is strongly preferred
Experience in a law firm supporting clients in the life sciences industry on regulatory matters or in a regulatory agency, such as the U.S. F.D.A., is strongly preferred
The ideal candidate should have excellent strategic and analytical skills, strong communication and presentation skills, and the ability to work independently and to collaborate on teams
The position is located in Titusville N.J. and will require some travel, approximately 10%.Corporate Law

Regulatory Senior Counsel Resume Examples & Samples

Provide legal advice to assist Assurant in the management of significant and complex regulatory and compliance matters involving the organization, its subsidiaries and affiliates in various business areas including, but not limited to insurance, telecommunications, service contracts, mortgage services, real estate, and digital products and services
Research, analyze and determine effects of state and federal statutes, regulations and court opinions on business practices and procedures
Provide legal advice, counsel and recommendations to business units and operations on corporate action to avoid future regulatory and compliance exposure for existing products and future lines of business
Foster strong working relationships with in-house business attorneys, the Compliance team, business leaders and may advise same
Coordinate and/or supervise and direct outside counsel in activities associated with handling regulatory and compliance matters, as required
Present legal perspectives to business clients and periodically reports to senior management on applicable issues
Offer legal assistance with state regulatory examinations and investigations
Minimum of 6 years of experience handling regulatory matters in insurance, mortgage services, telecommunications and/or other highly regulated industries as part of a law firm or corporate law department
Experience interacting with state insurance regulators, federal regulatory authorities (esp. CFPB and FTC) and/or state Attorneys General
Strong ability to influence without direct authority
Clear, effective oral and written communications skills
Ability to evaluate fact situations, identify legal issues, locate applicable legal authority, analyze and understand statutes, regulations and case law and recommend appropriate and defensible courses of action
Handle stressful situations, a heavy, diverse set of issues and provide a high level of customer service in a calm and professional manner
Prepare and deliver written and oral presentations to colleagues including senior management, on legal, regulatory and compliance issues

Litigation & Regulatory Legal Counsel Resume Examples & Samples

Lead investigations arising upon requests/notices by regulators as well as any investigations into matters that may necessitate notifications by UBS to such regulators
Lead potentially sensitive internal investigations, including whistleblowing matters and investigations into employee and the Bank's conduct
Lead and manage investigations to conclusion with clear and transparent guidance and analysis to the relevant functions, including prompt advice on any reporting under applicable law or regulation and any steps to remediate
Manage regular engagement with the HKMA and SFC

Managing Counsel, Regulatory Resume Examples & Samples

Acting as primary legal advisor to the Vehicle Safety and Compliance Liaison Office, the function that is the principal representative of Toyota to NHTSA relating to the agency’s enforcement activities. This includes submission of required reports (Part 573 reporting, Early Warning reporting, Foreign recall reporting, etc.), and responding to government Information Requests. Providing training, education, and guidance to VSCLO Team Members on regulatory requirements is also essential
Acting as legal advisor to Toyota’s Quality Division in areas related to product quality. This includes providing legal advice on quality issues that may have regulatory implications, as well as providing legal advice on governmental reporting and related regulatory requirements, including owner, dealer, and other public communications
Providing training, education, and guidance to Quality Division Team Members on regulatory requirements and Division policies and procedures is also essential
Acting as legal advisor to Toyota’s Washington office in areas relating to safety legislation and NHTSA rulemaking. This includes providing legal advice to help interpret existing federal safety standards and other regulations, responding to potential future rules, and assisting in federal and state legislative initiatives involving motor vehicle safety issues
Participating in meetings with the two automotive trade associations of which Toyota is a member to support the company’s interests
Providing advice and assistance in other areas that have regulatory implications. This includes working with other TL1 Team Members to support business transactions, and support product and business litigation and government investigations that have regulatory implications
Ability to train in our Torrance location for several months
Active membership in good standing of the bar of at least one U.S. state/jurisdiction; also must be able to obtain license to practice law in Texas concurrent with our headquarters move to Texas
Extensive experience as a safety regulatory attorney, preferably in a corporation, major law firm, or government agency
Strong, broad experience in automotive safety issues, including laws and regulations
Ability effectively to interface with all levels of the organization to communicate legal issues, and to facilitate gathering input and decision making within tight deadlines
Strong customer focus and interpersonal skills
Practical approach to solving complex legal problems
Demonstrated experience in process development and creating efficient workflow in a fast paced environment
Demonstrated experience in working as part of a cross-functional team
Strong sense of inclusion and teamwork
Previous in-house experience highly desirable, including management of outside counsel
Experience with automotive service industry and quality issues
Experience with product liability issues and product liability and/or class action litigation
Experience with antitrust and competition laws

Counsel, Manufacturing Regulatory Resume Examples & Samples

Providing day- to-day legal advice to the quality and supply chain organizations
Preparing business clients for regulatory inspections
Provide legal advice on issues affecting clinical and marketed product
Reviewing regulatory submissions
Maintaining awareness of current Good Manufacturing Practices
Five (5) or more years of employment experience in a law firm or corporate setting
Excellent teamwork, communication (written and oral) and analytical skills, and a high degree of business acumen
Experience in managing a significant workload, with the ability to juggle competing tasks in a fast paced and challenging environment
Willingness to work out of an office in Whitehouse Station New Jersey no fewer than three days a week and also to travel routinely to Kenilworth New Jersey and West Point Pennsylvania
CGMP experience
Pharmaceutical industry experience
Experience dealing with regulatory authorities, such as FDA, EMA

Associate General Counsel Regulatory & Compliance Resume Examples & Samples

Provide counsel on regulatory and compliance issues
Monitor and analyze changes to regulatory and compliance-related laws and regulations to ensure continued company compliance. Advise senior management on changes that may affect the business. Provide guidance to other departments on compliance initiatives, as necessary
Manage outside counsel on compliance and regulatory matters
Provide legal counsel on issues arising from actual or anticipated lawsuits and regulatory proceedings
Review relevant processes, policies and standard operating procedures
Recommend company policy and position on compliance and regulatory issues
Represent the company or its officials in various related legal and regulatory proceedings
Assist with compliance/regulatory aspects of acquisitions and other strategic transactions
Provide backup legal support for general corporate legal issues as required

VP, Counsel, Regulatory Resume Examples & Samples

Member of the bar of any U.S. state (if not California, must be willing and able to obtain Registered In-House Counsel status in California)
Knowledge of securities laws applicable to registered investment advisers and registered investment companies, including the Investment Advisers Act and the Investment Company Act of 1940
Experience with regulatory examinations and/or enforcement is a plus

Counsel, Regulatory Capital Markets Policy Resume Examples & Samples

Law degree from an accredited law school, admission to a bar, and a minimum of 6 - 8 years of relevant legal experience
Advanced working knowledge of trading and market practices and rules, regulations and guidelines governing the securities industry
Excellent judgment and interpersonal skills

Legal Counsel, Regulatory & Derivatives Resume Examples & Samples

At least 4 years’ legal practice or compliance experience with a national regulator, in-house or law firm
Proven knowledge and understanding of key regulations such as EMIR, FATCA, clearing, trade reporting and regulatory risk mitigation techniques. The candidate must be able to demonstrate actual experience and not merely an interest in these subjects
Understanding of financial markets’ products, processes and documentation (ISDA, GMRA, Give-Ups)
Ability to interpret complex statutes and regulations and produce clear, practical guidance
Strong analytical skills, judgment and energy/enthusiasm
Excellent verbal and written communication skills in English; Dutch native/German language skill is a plus
Master’s degree in law/equivalent law qualification (LLM etc.); Dutch legal qualification is a plus

Counsel Regulatory & Environmental Resume Examples & Samples

Examine, interpret and advise on laws, rulings, and regulations
Provide leadership, strategic advice, business counseling, and expertise for internal legal resources and business partners to assist in addressing FERC and state regulatory and compliance issues, and federal and state environmental matters
Prepare contracts, agreements, testimony, briefs, arguments, pleadings and other legal documents
Represent the Company before federal and state agencies and courts
Forecast, allocate and manage resources, including outside counsel, to meet business needs and achieve strategic goals in a timely manner
Juris Doctor (J.D.) degree from an ABA accredited law school, required
License to practice law in a U.S. jurisdiction and in good standing, required
Minimum of 3 years of experience in a corporate legal department, large law firm or energy company; however similar significant experience with energy regulatory and environmental practice will also be considered
Experience with and knowledge of FERC, state public utility commissions including PUCT, CFTC, and wholesale electricity markets (RTO/ISOs including ERCOT, ISO-NE, PJM, MISO, CAISO and NYISO), required
Experience with and knowledge of federal and state environmental laws and regulations, particularly affecting fossil fuel electric generating units, preferred
Strong analytical and written and oral communication skills
Ability to work well within and coordinate cross-functional teams
The ability to work independently and autonomously
Ability to handle stressful situations in a professional manner
Managing multiple projects under competing deadlines

Associate Counsel, Regulatory Resume Examples & Samples

Cosmetic and OTC industry experience required
Licensed to practice; NY, CA, or DC preferred
10+ years of regulatory, compliance, and administrative legal experience at AM Law 200 firm and/or Fortune 1000 company
Role requires a strong understanding of cosmetic and OTC regulations including those related to FDA compliance, GMP requirements, product formulation, packaging, labeling, etc
Experienced business lawyer with ability to form strong relationships with business leaders and serve as a counterpart to the QA and R&D teams
Licenses or Certifications:Admission in good standing to a state bar; State of New York, California, or District of Columbia preferred

Senior Regulatory Legal Counsel Resume Examples & Samples

Assist with the development of TELUS’ public policy and regulatory advocacy on a wide range of content policy issues, including regulation of television distribution, regulation of other content platforms, copyright, and the dynamics of competition in a highly concentrated and vertically integrated market place
Assist with ensuring regulatory compliance of all content-related services provided by TELUS
Lead inter-disciplinary task teams within TELUS struck to address particular public policy and regulatory issues
Embrace a culture that advances TELUS’ strategic imperatives and corporate priorities, including our Customers First strategy

Consumer Regulatory & Product Counsel Resume Examples & Samples

Provide strategic consumer finance regulatory support across a number of important regulations (including UDAAP, TILA and FCRA) to the GCO’s U.S. legal team and to various divisions of American Express, including U.S. Consumer Products and Services, U.S. small business services and other business units
Serve as a regulatory subject matter expert, with a particular emphasis on UDAAP, TILA and FCRA, across important U.S. regulations
Provide thought leadership on U.S. consumer regulatory issues including development and implementation of training to GCO colleagues, Compliance and business partners that is focused on UDAAP and other key regulatory issues
Provide legal advice on specific projects relating to the U.S. consumer co-brand and proprietary lending card portfolios. Issues will span across product development, new acquisition and loyalty engagement programs
Coordinate with GCO and Compliance colleagues with responsibility for card marketing initiatives and loyalty programs as well as providing support to colleagues throughout GCO and Compliance on UDAAP and other US consumer regulatory issues
Support the U.S. consumer co-brand and proprietary lending card portfolios, including product development, marketing, and new benefit constructs
Generate buy-in and develop strategic partnerships through relationship-building and effective communication
Bachelor’s degree & J.D
Qualified to practice law in New York or District of Columbia
Experience applying UDAAP, the Truth in Lending Act, the Fair Credit Reporting Act, Electronic Funds Transfer Act and the Equal Credit Opportunity Act
Knowledge of the legal field and its intersection with business
Ability to generate creative and innovative solutions to client issues
Ability to communicate complex issues clearly and persuasively, in both written and oral format

Associate Counsel, Regulatory Resume Examples & Samples

Reports to the Lead Regulatory Counsel in the Legal Department
Supports Lead Regulatory Counsel and Senior Regulatory Counsel in the management of significant and complex regulatory matters and legislative issues involving Assurant, its subsidiaries and affiliates in various business areas including, but not limited to insurance, telecommunications, service contracts, mortgage services, real estate, and digital products and services
Tracks legislation, proposed regulations and pertinent public policy issues using StateNet platform, communications from trade associations and other external resources
Researches, analyzes and determines effect of state and federal statutes, legislation, regulations and court opinions on business practices and procedures
Provides support to Government Relations in the formulation of company positions and on legislation, proposed regulations and pertinent public policy issues
Provides support to the AVP for Industry Relations and Operations in furtherance of Assurant’s trade association relationships and interests before the National Association of Insurance Commissioners
Fosters strong working relationships with in-house business attorneys, the Government Relations team, business leaders and may advise same
Presents legal perspectives and reports on applicable issues to internal clients
Minimum of 3 years of experience handling legislative and/or regulatory matters in insurance, mortgage services, telecommunications and/or other highly regulated industries as part of a law firm or corporate law department
State or federal legislative experience
Resilient, agile thinker
Ability to invite differing perspectives when addressing challenges

Senior Regulatory Legal Counsel Resume Examples & Samples

Review regulations and ensure compliance with applicable regulations relating to futures, swaps, and energy products
Advise trading, compliance, operations, and technology staff regarding regulatory matters and industry developments related to the businesses you support
Partner with outside counsel to support any litigation matters that arise
Facilitate compliance programs within the firm

Regulatory Legal Counsel Resume Examples & Samples

Conduct legal research related to regulatory and related issues
Provide regulatory legal support for business initiatives
Respond to any regulatory requests, subpoenas and governmental requests received
Represent SIG and interface with various regulatory authorities across product lines

Legal Counsel, Commercial & Regulatory Resume Examples & Samples

Support the Senior Legal Counsel, Commercial and IP to provide responsive, efficient, practical, commercial and high quality legal advice and guidance to the business, specifically in relation to new and existing contracts, principally with customers but also suppliers
Support the Senior Legal Counsel, Regulatory & Commercial to provide responsive, efficient, practical, commercial and high quality legal advice and guidance to the business in relation to laws and regulatory requirements affecting the business, in particular privacy (including credit reporting) and competition and consumer law, and to manage relationships with applicable industry regulators in Australia
Ensure legal advice is timely and accurate and reflects changes in the regulatory and legal environment, as necessary
Assist in the provision of specialised legal advice to the business on all laws, industry standards and codes affecting the business, substituting the need to seek external legal advice on laws affecting the business, including laws, industry standards and codes relating to privacy, competition and consumer, and consumer credit. All technical legal advice should seek to recommend a potential solution to any identified issues, and be accompanied by a risk assessment with potential risk mitigations
Collaborate with internal stakeholders on product development to ensure compliance with all applicable laws and regulatory requirements and anticipate regulatory change
Relevant Law Degree
Experience as Commercial Lawyer providing regulatory advice
Ability to draft complex commercial contracts, providing technical advice on laws and industry standards including privacy, competition and consumer laws, and/or consumer credit
Thorough knowledge of laws, industry standards and codes applicable to the technology and data industry generally and the business in particular, including privacy (including credit reporting), competition and consumer, and consumer credit laws, industry standards and codes
Ability to explain legal and compliance concepts in a commercial context
Strong stakeholder management abilities
Experience working in a corporation or with a large law firm
Prior work experience in a highly regulated industry, bonus if it’s technology or data focused
Flexible and dynamic working environment
Autonomy to drive your own work while being supported by senior colleagues
Providing advisement on complex business challenges and seeing a direct impact
Wide range of responsibilities and exposure to different areas of the business
Extensive career progression opportunities available within a global company
Working in a data dedicated, growing business in an expanding industry
Vibrant business with strong company culture