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11 jobs found for

Regulatory Broker Dealer Securities Attorney Jobs in New York City

Job info
Company
Recruiter
Experience
Min 2 yrs required
Location
New York City, NY
Posted Date
Jul 20, 17
Info Source
Recruiter
Investment Adviser and Broker-Dealer Regulatory Associate Attorney The candidate... have 2+ years of investment adviser and broker-dealer regulatory experience. Will allow an... experienced candidate to develop and broaden his or her analytical skills and expertise on dynamic and demanding projects.... read more
Company
Recruiter
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Jul 20, 17
Info Source
Recruiter
Regulatory Compliance Associate The candidate... file investment adviser and broker-dealer applications with the Securities... database of client and regulatory information. Provide assistance to... clients in responding to regulatory inquiries and enforcement actions.... of Investment Adviser and/or Broker-Dealer Compliance experience. Bachelor's Degree...... read more
Company
In-House, Morgan Stanley
Experience
Min 8 yrs required
Location
New York City, NY
Posted Date
Jul 21, 17
Info Source
Employer
Prime Brokerage / Securities Lending Coverage Attorney The... covering its prime brokerage, securities lending and fund administration... documentation professionals on legal, regulatory and franchise issues that... years of experience in broker-dealer regulation, hedge funds, securities... short sales. Experience with broker-dealer regulation, hedge funds, securities...... read more
Company
In-House
Experience
Min 3 yrs required
Location
New York City, NY
Posted Date
Jul 25, 17
Info Source
Employer
Semi-Annual and Annual Primary Dealer Compliance Program for the... on current and new regulatory rules. Assist in responding... to regulatory inquiries. Undertake pro-active and... officer experience at a broker-dealer, governmental agency or self-regulatory... organization. Experience drafting policies, implementing procedures, training,... read more
Company
In-House
Experience
5-10 yrs required
Location
New York City, NY
Posted Date
Jul 22, 17
Info Source
Employer
Investment Management Regulatory Counsel The candidate will... Head of Policies and Regulatory Initiatives in analyzing new... anticipate and meet the regulatory requirements of new and... to key legal and regulatory requirements. Collaborating with Compliance... specialized training on complex regulatory topics. Providing advice and... broker... read more
Company
In-House, JPMorgan Chase & Co,
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Jul 26, 17
Info Source
Employer
Duties: Communicate legal and regulatory changes to the businesses... that have legal or regulatory implications to the legal... Legal Group within Equities/Broker Dealer N.A. group in Corporate... & Investment Bank Legal Department. Work with Document Specialists who execute flow transactions.... read more
Company
Recruiter
Experience
3-10 yrs required
Location
New York City, NY
Posted Date
Jun 22, 17
Info Source
Recruiter
Securities Regulation / Compliance Attorney... of the following areas: securities arbitrations, e.g., customer claims,... FINRA, SEC; regulatory inquiries from FINRA, SEC... areas of banking, retail broker-dealers or investment banks. Must... have experience supervising or managing outside counsel's responses to lawsuits/arbitrations/regulatory... read more
Company
In-House, ITG
Experience
7-10 yrs required
Location
New York City, NY
Posted Date
Jul 26, 17
Info Source
Employer
Broker-Dealer Legal Counsel The candidate... on all aspects of Broker-Dealer governance, including U.S. Market... commission unbundling, and related regulatory requirements. Represent compliance for... 7-10+ years’ experience required. Securities Licenses preferred - Series... trading; of the U.S. regulatory environment for broker-dealers including... - SEC, NYSE,...... read more
Company
In-House, THE BANK OF NEW YORK MELLON CO...
Experience
10-15 yrs required
Location
New York City, NY
Posted Date
Jul 21, 17
Info Source
Employer
Broker Dealer Chief Compliance Of... oversight and management of broker-dealer/related compliance programs, specifically: Partnering... with respect to all regulatory developments, requirements and proposals.... in place to meet regulatory requirements and providing advice... with regulators and manage regulatory examinations. Must have 10-15... Securities... read more
Company
In-House
Experience
Min 7 yrs required
Location
New York City, NY
Posted Date
Jul 20, 17
Info Source
Employer
Vice President Regulatory Compliance Global Manager -... Duties: Aligned by regulation(s), regulatory requirements, and/or a particular... relative to assigned regulation(s), regulatory requirements and/or compliance risks.... Provides regulatory compliance expertise to support... risk associated with assigned regulatory requirements. Manages regulatory officer... regulatory... read more
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