Broker Dealer Attorney Jobs in New York City

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 ..

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 ..

Senior Counsel, Regulatory Attorney The candidate will report directly ... business legal advice relating to broker-dealers and dual registrants. Will work ... laws, most particularly relating to broker-dealers; Familiarity with..

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 ..

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 ..

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 ..

... fund formation, investment management, and/or broker-dealer regulation. The role involves providing ... and investment management.Ensure compliance with broker-dealer regulations.RequirementsExperience in fund formation, investment ... fund formation, investment management, or..

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 ..

Job OverviewA law firm seeks a Financial Services Associate in New York City, NY. The ideal candidate will have 3 to 7 years of experience and a strong understanding of federal ..