Broker Dealer Attorney Jobs

Mid-level/Senior Investment Management Associate/Counsel The candidate should have investment management experience. Specific expertise in fund formation and fund structuring is required. Must have experience with hedge funds, private equity funds, venture ..

Mid-level/Senior Investment Management Associate/Counsel The candidate will provide innovative solutions and dedicated, top-caliber client service to worldwide clientele of hedge funds, private equity funds, venture capital funds, and other pooled investment ..

Global Chief Compliance Officer- Broker Dealer The candidate will be point of contact for all exams/inquiries and audits. Will work on cover all entities and manage staff across business lines. Provide ..

Job OverviewA law firm seeks a Financial Services Associate with 3 to 7 years of experience for their office in New York, NY. The ideal candidate will possess a strong understanding ..

... TSS General Counsel. Advise on broker-dealer and other securities law matters. ... relating to TSS’s client businesses (e.g.broker-to-broker agreements, order routing agreements, and ... worldwide including with regards to..

Job OverviewA law firm seeks an Asset Management Associate to join the Regulatory & Enforcement practice in New York, NY. The ideal candidate will have three to six years of experience ..

General Counsel The candidate will lead all strategic legal initiatives including leases, joint venture agreements, restaurant management agreements, franchising agreements, licensing agreements fundraising entity structuring and/or restructuring asset purchases and/or sales ..

Americas Compliance And Operational Risk Control Chief of Staff The candidate will be responsible for: Providing support to the C&ORC Co-Heads and other senior C&ORC staff in managing the strategic priorities ..

I am the recruiting partner at Seward & Kissel LLP (“S&K”). I have been actively involved in recruiting and the summer program in official capacities for the past three years and ..

A law firm seeks a skilled real estate associate to join its New York City office. The ideal candidate will possess between three and five years of hands-on experience in commercial ..

Compliance Testing (Broker-Dealer), AVP Responsibilities: Perform compliance testing and monitoring, identify issues, make recommendations and report the result to the management team. Track the issues and the status of remediation. Identify ..

I am the recruiting partner at Seward & Kissel LLP (“S&K”). I have been actively involved in recruiting and the summer program in official capacities for the past three years and ..

Director AML and Financial Crime Compliance The Candidate will be responsible for participating in the enhancement and development of CME Group’s onboarding program and procedures to encompass required AML and other ..

Equity Finance Attorney The candidate will be responsible for the analysis of complex legal issues and implications on matters of significant impact to the firm's Prime Brokerage Business. Provides advice on ..

Tax Accountant, Tax, Global Compliance And Reporting Senior The candidate will be responsible for: Provide clients with tax guidance and planning related to tax compliance and reporting. Focus on tax consulting, ..

Job OverviewA law firm seeks an Insurance Transactional and Regulatory Associate in New York, NY. The successful candidate will join a team specializing in insurance laws, regulations, and corporate transactions, providing ..

... experience in law firm or broker dealer/investment banking firm or derivatives dealer with emphasis on Volcker, SEC ... on Volcker, SEC security-based swap dealer regulations and or CFTC swap..

U.S. Regulatory Obligations & Controls Coordinator, Manager The candidate will manage the U.S. Regulatory Library and Control Inventory, including collaborating and coordinating with U.S. business line compliance officers and business line ..

Job OverviewA law firm seeks a talented and motivated attorney to join its New York City, NY real estate practice. The ideal candidate will have experience in sophisticated commercial real estate ..

Job OverviewA law firm seeks a highly qualified Counsel to join its Financial Markets and Funds Department in the Investment Management and Trading group, based in New York, NY. Candidates should ..

Tax Accountant, Tax, Global Compliance And Reporting Senior The candidate will be responsible for: Provide clients with tax guidance and planning related to tax compliance and reporting. Focus on tax consulting, ..

Associate General Counsel The candidate will be reporting to the General Counsel, responsibilities will include advising on contractual, bank regulatory, general corporate, and corporate governance matters for a privately-held wealth management ..

... both our investment adviser and broker-dealer entities, ensure that appropriate regulatory ... at a SEC-registered investment adviser, broker-dealer, or regulator (diversity of experience ... applicable to investment advisers and..