Regulatory Broker Dealer Securities Attorney Jobs in New York City

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 ..

Swap Dealer Compliance Officer The candidate will ... The candidate will manage swap dealer compliance program including assessing and ... and education process and on-going regulatory interactions. Providing real time..

... and inter-departmental initiatives, advise on regulatory policy formulation and provide expert ... and provide expert guidance on regulatory matters for the Market Regulation ... and approval function for existing..

VP - In-House Attorney –Swaps, Derivatives, Foreign Exchange, TDS ... to the firm's swap dealers, broker dealers and global foreign exchange ... insolvency, Dodd Frank, margin/collateral, ERISA, securities laws, local..

Corporate and Securities Associate Duties: Work in a ... areas will be corporate and securities, particularly focusing on early-stage companies ... crowdfunding campaigns. Assisting the firm’s broker-dealer and funding portal..

... 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...

... and inter-departmental initiatives, advise on regulatory policy formulation and provide expert ... and provide expert guidance on regulatory matters for the Market Regulation ... and approval function for existing..

... general counsel of dually registered broker-dealer and registered investment adviser. Provide ... on a wide variety of broker-dealer and investment advisory legal matters, ... commercial matters, and advise on..

... and inter-departmental initiatives, advise on regulatory policy formulation and provide expert ... and provide expert guidance on regulatory matters for the Market Regulation ... and approval function for existing..

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..

... related to securitization transactions and regulatory items as well as other ... support functions including Compliance, Operations, Regulatory, Credit and Finance to promote ... degree and 5+ years of..

... Derivatives and Futures, Repo and Securities Lending, Structured Commodities Transactions, Structured ... including contract enforceability, derivatives and securities laws, and bank regulatory perspectives. Maintain close relationships with ... variety..

... the desks on legal and regulatory matters, including Dodd-Frank, and US ... matters, including Dodd-Frank, and US broker-dealer rules/regulations, securities laws applicable to primary offerings ... retention), and local..

... 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 .....

Senior Counsel, Regulatory Attorney The candidate will report directly ... will be responsible for providing regulatory and business legal advice relating ... business legal advice relating to broker-dealers and dual..

... 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,..

... management legal team. Provide legal, regulatory and policy advice to senior ... vendors. Subject matter includes U.S. securities laws (especially the Investment Adviser’s ... Title 9), as well as..

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

... experience to work with its Broker-Dealer Investment Adviser team within the ... with a strong foundation in securities regulation and industry knowledge. The ... large variety of asset management,..

... business leaders. Providing legal and regulatory advice and counsel to the ... and counsel to the retail broker-dealer with a concentration on investments, ... Representing and counseling insurers and..

... 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..

... is seeking a Senior Corporate Securities Associate Attorney or Counsel to join their ... will possess extensive experience in securities law, corporate governance, and compliance, ... of in-depth experience..