Regulatory Broker Dealer Securities Attorney Jobs in New York

Associate The candidate must have 2-4 years of experience representing and advising broker-dealers, investment advisers and financial institutions in securities regulatory matters and enforcement proceedings. ..

Seeking a Financial Institutions Regulatory, Enforcement and Litigation Associate with 2-4 years of experience representing and advising broker-dealers, investment advisers and international financial institutions in securities regulatory matters and enforcement proceedings, ..

Seeking a Banking Associate with 2-4 years of experience representing and advising broker-dealers, investment advisers and international financial institutions in securities regulatory matters and enforcement proceedings, including trade finance negotiation and ..

Legal Initiative And Regulatory Reform Lawyer The candidate will ... on legal initiatives, legislative and regulatory reforms and impact analysis on ... across the bank involved in regulatory change and..

Seeking a Banking Associate with 2-4 years of experience representing and advising broker-dealers, investment advisers and international financial institutions in securities regulatory matters and enforcement proceedings, including trade finance negotiation ..

... work closely with Legal and Regulatory Compliance teams within TSS, reporting ... TSS General Counsel. Advise on broker-dealer and other securities law matters. Handle daily routine ... law matters...

... OverviewA law firm seeks a Securities Enforcement Associate in New York. ... a nationally recognized practice in securities enforcement defense and regulatory counseling, representing clients before various ... counseling,..

... both our investment adviser and broker-dealer entities, ensure that appropriate regulatory policies, procedures and controls are ... and coordinate SEC and FINRA regulatory examinations, including written responses. Partner .....

Banking Associate The candidate must have 2-4 years of experience representing and advising broker-dealers, investment advisers and international financial institutions in securities regulatory matters and enforcement proceedings, including trade finance negotiation ..

Equity Finance Attorney The candidate will be responsible ... cross border transactions, Advising on securities and margin regulations, Working Broker Dealer regulatory issues...

... seeks an Insurance Transactional and Regulatory Associate in New York City, ... fund formation, investment management, and/or broker-dealer regulation. The role involves providing ... industry stakeholders, ensuring compliance with..

... include advising on contractual, bank regulatory, general corporate, and corporate governance ... adviser, and an SEC registered broker-dealer. Will execute their responsibilities as ... types of legal agreements and..