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Years of Experience
Date Last Verified
ProfileMunicipal Sales and Trading Lawyer Responsibilities : The candidate will work extensively with the UBS municipal sales and trading business group, counseling them on sales and trade related issues. Provide legal advice to the municipal sales and trading business group on MSRB, FINRA, SEC and other applicable rules and regulations that impact their business. Work directly with UBS business, legal and control function management. Respond to ad hoc requests from internal and external sources, and work on other special projects involving the municipal securities business, as well as other capital markets businesses.
Qualification and Experience
Requirements : The candidate should have a JD degree with current admission to the Bar. 5+ years of experience in providing legal coverage of sales and trading businesses, with particular focus of municipal securities sales and trading. Strong knowledge of and expertise In MSRB, SEC and other related regulations. Experience working with or in the financial services sector and working with broker-dealer compliance departments. General corporate legal skills relating to corporate governance and inter-entity agreements. Strong analytical skills and demonstration of thought leadership. A dedicated team spirit and ability to interact and communicate with colleagues on all levels. Familiar with both recently implemented and near-future regulatory changes affecting the municipal securities business. Confident in the ability to advise and communicate effectively on a variety of muni matters with a varied internal constituency (sales persons, traders, capital markets management, and occasionally clients of the firm) both verbally and in written materials.
Job Reference # 150994BR