An American multinational global investment bank and financial services holding company is seeking a Senior level attorney specializing in Fixed Income or Equities. The attorney should have extensive knowledge of capital markets specifically U.S. securities laws as well as broker-dealer rules and regulations. This is a highly critical business-facing role in which you will provide broker-dealer sales and trading support to the Bank's wealth management division. You will have a heavy level of influence and sit in meetings with senior stakeholders on a frequent basis.
Responsibilities:
- Provide advice on SEC, FINRA, MSRB and SRO laws, rules and regulations
- Advise on regulatory matters and participate in the review, policy, and governance process pf broker-dealer sales and trading for Equities and Fixed Income
- Work with business, risk and compliance partners across the company
- Provide advice to front office individuals on certain trades and transactions as needed
Qualifications:
- 4+ years of experience as a practicing attorney specializing in capital markets
- Prior in-house experience
- Extensive knowledge of U.S. securities laws and broker-dealer rules and regulations
Benefits:
- Large legal team where internal mobility is possible
- Work for one of the 100 Best Companies to Work For recognized by Fortune Magazine
