Supports a high-volume in-house legal practice by managing request intake, tracking matters, coordinating stakeholders, preparing routine legal documents, reviewing documents and spreadsheets, and producing reports and presentations. Maintains legal operations tools, templates, policies, procedures, databases, files, and records. Handles confidential information and assists with legal, compliance, operational, and business projects.

Serves as a broad-based in-house counsel supporting sanctions, AML, anti-bribery, pay-to-play, privacy, cybersecurity, trademarks, litigation, investigations, and regulatory matters. Responsibilities include managing compliance programs, negotiating privacy agreements, leading incident response, administering trademarks, supporting disputes and e-discovery, drafting policies and contracts, and advising business stakeholders across jurisdictions.

The Assistant Controller will oversee accounting operations, month-end and year-end close, financial statement preparation, regulatory reporting, net capital computations, variance analysis, audits, internal controls, and accounting policy documentation. The role supports an SEC-registered security-based swap dealer and requires collaboration with the Controller and CFO. Responsibilities also include invoice review, systems and process improvements, and serving as backup for the Controller.