SENIOR BANK SECURITIES ATTORNEY – UNION BANK

Union Bank, N.A. seeks a senior bank securities attorney to assist in providing legal support to its registered broker dealer and investment adviser and to Bank departments engaging in securities-related activities.  The position may be located in San Francisco, Los Angeles or San Diego.  The candidate must be a member of the California State Bar or otherwise qualified to practice law in California as in-house counsel.

Qualifications

• Minimum 10 years experience with a law firm or legal department, a substantial portion of which has been in the securities area;
• Knowledge of the laws and regulations applicable to bank-affiliated broker dealers, investment advisers, and to banks engaging in securities-related activities, including regulations of SEC, FINRA, OCC and Federal Reserve;
• Ability to provide counsel and guidance to officers of a bank or securities firm on matters ranging from complex legal questions or inquires to routine day-to-day legal matters;
• Ability to analyze and research complex legal issues and translate such research and analysis into practical and effective advice to bank or securities firm officers;
• Ability to be flexible in accepting additional or changed duties as demand for legal services within Union Bank evolves;
• Excellent issue spotting, risk assessment and problem solving skills;
• Strong written and verbal communication and interpersonal skills, including negotiation skills;
• Excellent organizational skills and attention to detail; and
• Flexibility and adaptability to changing priorities and deadlines.

Knowledge of laws and regulations applicable to bank fiduciary activities is a plus.

Major Responsibilities (Include some or all of the following):

• Assist in providing legal counsel to Union Bank’s affiliated broker dealer and investment adviser, and to bank departments engaged in securities-related activities,  including the following:
• Review and advise on issues related to regulatory matters, new legislation, and compliance questions;
• Draft client and vendor contracts and other documents related to brokerage and investment advisory business, including client applications and agreements, NDAs, and vendor arrangements;
• Assist with responses to RFP’s and changes to Forms BD and ADV;
• Assist with new product development;
• Review policies and procedures, mutual fund disclosure statements, and marketing materials.
• Consistent with relevant background and experience, may assist in providing legal advice with respect to Union Bank’s fiduciary activities;
• Serve as consultative resource to other Union Bank in-house counsel as to areas of subject matter expertise.
• Keep informed of state and federal legislative and regulatory proposals that would affect banks or their affiliated broker dealers and investment advisers;
• May play an active role in education and training of less experienced in-house counsel or paralegals or Bank officers; and

If you are interested in this position, please call Earl Uriarte, of the Union Bank Talent Acquisition and Staffing Department, at 916-321-3112, or forward your resume to him at ernesto.uriarte@unionbank.com.

Union Bank is committed to leveraging the diverse backgrounds, perspectives, and
experiences of our workforce to create opportunities for our people and our
business.  EOE. M/F/D/V

SENIOR BANK REGULATORY & CONTRACTS ATTORNEY – UNION BANK

Union Bank, N.A. seeks a senior bank regulatory and contracts attorney to provide legal support to its contracts management and regulatory compliance functions.  The position may be located in San Francisco, Los Angeles or San Diego.

Qualifications

• Candidate must be a member of the California State Bar or otherwise qualified to practice law in California as in-house counsel;
• Minimum 15 years experience either as in house counsel with a bank, or experience with a law firm, providing advice to banks;
• Demonstrated ability to provide counsel and guidance to bank officers on matters ranging from complex legal questions or inquires to routine day-to-day legal matters;
• Ability to analyze and research complex legal issues and translate such research and analysis into practical and effective advice to bank officers;
• Thorough knowledge of legal principles applicable to bank contracts, preferably including experience in bank vendor management regulation, technology contracts, intellectual property rights and indemnification provisions;
• Knowledge of laws and regulations applicable to banks and to oversight of banks by government regulators;
• Excellent issue spotting, risk assessment and problem solving skills;
• Strong written and verbal communication and interpersonal skills, including negotiation skills;
• Excellent organizational skills and attention to detail; and
• Flexibility and adaptability to changing priorities and deadlines.

Major Responsibilities

• Provide legal counsel to Union Bank’s contracts management function and assist in negotiating major bank contracts;
• Provide legal counsel to various Bank units related to compliance with the banking laws, and related laws, including the Dodd-Frank Act, and regulations applicable to banks, including regulations of the OCC and Federal Reserve;
• Keep informed of state and federal legislative and regulatory proposals that would affect banks;
• Assist in planning and creating policies for the Bank’s contracts management and regulatory compliance functions;
• May take an active role in education and training of less experienced in-house counsel or paralegals or Bank officers; and
• Serve as consultative resource to other Union Bank in-house counsel as to assigned subject matter areas.

If you are interested in this position, please call Earl Uriarte, of the Union Bank Talent Acquisition and Staffing Department, at 916-321-3112, or forward your resume to him at ernesto.uriarte@unionbank.com.

Union Bank is committed to leveraging the diverse backgrounds, perspectives, and experiences of our workforce to create opportunities for our people and our business.  EOE. M/F/D/V

Square – Counsel (Payments)

Full Time – San Francisco

As Compliance Counsel, you’ll play a key role in managing compliance issues and risks related to Square’s rapidly expanding payments activities. You will provide guidance regarding the full range of financial services regulatory requirements for online and offline payments, including FinCEN regulations, network rules, anti-money laundering processes, KYC obligations, and licensing regimes. You will help to establish and maintain company-wide programs to support compliance in our products and activities. This will involve working closely with external advisors and internal experts regarding the many aspects of legal compliance, as well as serving as a liaison to law enforcement agencies.

Responsibilities:

• Advise on regulatory and industry requirements for financial service activities
• Lead development of regulatory compliance policies and programs
• Identify risk areas and develop systems and procedures to manage and mitigate them
• Communicate with business partners about regulatory obligations and risk management processes
• Counsel product and business development teams
• Work with state, local, national, and international law enforcement agencies to detect and eradicate fraudulent activity
• Manage responses to compulsory legal process from law enforcement and civil litigants

 Requirements:

•  J.D. degree with outstanding academic credentials
• Membership in at least one state bar (preferably California)
• Minimum of 7-10 years of experience, with experience at top-tier financial services company or regulatory body preferred
• Extensive knowledge of financial services / payments compliance requirements and regulations, including anti-money laundering, customer treatment (including FCRA), KYC, escheat, data security, and privacy policies
• Experience with US regulatory system, with additional experience with non-US jurisdictions preferred
• Strong leadership and project management skills
• Team-oriented approach

If interested, click here to apply.

SVB Financial Group – Senior Counsel

Job Description:

SVB Financial Group is currently seeking candidates for the position of Senior Counsel at our office in Palo Alto, CA. We seek a banking regulatory attorney who will principally support our banking deposit and cash management operations. The person must also be familiar with laws affecting our SVB Securities and SVB Asset Management groups. The Senior Counsel will also take on other projects in support of other departments throughout the company. The successful candidate must have the ability to work effectively in a fast-paced, exciting environment and must be comfortable both managing outside counsel and providing guidance to aggressive business units on sophisticated legal and business issues.

The work will include:

• Providing legal and regulatory expertise on a wide array of deposit and cash management products
• Serving as the primary internal legal point of contact for SVB Securities and SVB Asset Management
• Managing outside counsel
• Performing legal work as part of a project team on a variety of discrete banking issues, often through matrixed reporting lines

Skills and Requirements:

• 6-12 years experience (either in-house or with a firm)
• Banking law experience, particularly with deposit and cash management products
• Familiarity with Broker/dealer securities work
• Excellent business judgment
• Excellent writing and oral communication skills
• Hard working, well organized and able to manage numerous project simultaneously under deadline pressures
• Willingness to work on a broad range of legal matters/topics
• Excellent interpersonal skills, including the ability to team up with others
• An inquisitive nature to help you learn about our business and to help find solutions as we grow as a company
• A sense of humor is required (we’re serious about this)
• A J.D. from a top tier school and excellent academic credentials

For 25 years, SVB Financial Group and its subsidiaries, including Silicon Valley Bank, have been dedicated to helping entrepreneurs succeed. SVB Financial Group is a financial holding company that serves companies in the technology, life science, private equity and premium wine industries. Offering diversified financial services through Silicon Valley Bank, SVB Analytics, SVB Capital, SVB Global and SVB Private Client Services, SVB Financial Group provides clients with commercial, investment, international and private banking services. The company also offers funds management, broker-dealer transactions, asset management and a full range of services for private equity companies, as well as the added value of its knowledge and networks worldwide. Headquartered in Santa Clara, Calif., SVB Financial Group operates through 27 offices in the U.S. and international operations in China, India, Israel and the United Kingdom. More information on the company can be found at www.svb.com .

SVB Financial Group is an equal opportunity employer.

To apply for this position, visit:  https://www.svb.apply2jobs.com/ProfExt/index.cfm?FuseAction=mExternal.showJob&rid=894

SVB Financial – Senior Counsel

Location:  Palo Alto, CA

Job Decription:

We seek a transactional attorney who will principally support our United States commercial lending and global trade groups who will also take on other projects as required to support other departments throughout the company. The innovative person within this role must possess good business judgment and have the ability to work effectively in a fast-paced, exciting environment. The work will include:

• Drafting commercial loan documents and other documents associated with commercial lending transactions
• Advising regarding the development of loan products and the associated documents
• Advising on global trade transactions including letters of credit, foreign exchange, forfeiting, bills of exchange, and EXIM transactions
• Managing outside counsel
• Training SVB business team members about legal issues

Skills and Requirements:

• 6-10 years experience (either in-house or with a firm)
• Commercial lending and secured transactions experience (drafting and negotiating
• Excellent business judgment
• Excellent writing and oral communication skills
• A desire and ability to teach/train/mentor others
• Hard working, well organized and able to manage numerous project simultaneously under deadline pressure
• Willingness to work on a broad range of legal matters/topics
• Excellent interpersonal skills, including the ability to team up with others
• An inquisitive nature to help you learn about our business and to help “get the pieces to fit together” as we grow as a company
• A desire to participate in international business activities
• A sense of humor is required (we’re serious about this)
• A J.D. from a top tier school and excellent academic credentials

For 25 years, SVB Financial Group and its subsidiaries, including Silicon Valley Bank, have been dedicated to helping entrepreneurs succeed. SVB Financial Group is a financial holding company that serves companies in the technology, life science, private equity and premium wine industries. Offering diversified financial services through Silicon Valley Bank, SVB Analytics, SVB Capital, SVB Global and SVB Private Client Services, SVB Financial Group provides clients with commercial, investment, international and private banking services. The company also offers funds management, broker-dealer transactions, asset management and a full range of services for private equity companies, as well as the added value of its knowledge and networks worldwide. Headquartered in Santa Clara, Calif., SVB Financial Group operates through 27 offices in the U.S. and international operations in China, India, Israel and the United Kingdom. More information on the company can be found at www.svb.com .

SVB Financial Group is an equal opportunity employer.

To apply for this position, visit: https://www.svb.apply2jobs.com/ProfExt/index.cfm?FuseAction=mExternal.showJob&rid=893