Job Details

Finance - General Attorney in Syracuse, NY

Organization Type


Job Type


Date Last Verified

Jun 11, 2021

Posted on

May 01, 2021

Years of Experience

7-10 yrs required


Syracuse, NY, United States
Practice Area
Finance >> Finance - General
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Legal Counsel - Broker/Dealer
Responsibilities: Participate in the definition and development of corporate policies, procedures and programs and provide continuing counsel and guidance on legal matters and on legal implications of all matters regarding the broker/dealer, including collaboration with other teams when applicable. Engage in research and drafting of memoranda and presentations for key business initiatives. Draft, manage, and/or review all broker/dealer legal agreements including vendor agreements, contracts, NDAs, consulting agreements, order routing agreements, disclosure agreements, and broker to broker agreements. Handle customer complaints, arbitrations and litigations with an eye towards an efficient resolution. Judge the merits of major court cases filed against or on behalf of the company, work with the appropriate executive(s) to define strategic defense and approve settlements of dispute where warranted. Work with other functions on remediation of deficiencies identified. Respond to regulatory inquires and enforcement matters. Provide guidance to executive management regarding industry and Firm related regulatory matters; manage regulatory filings. Selection, retention, management, and evaluation of all outside counsel. Work within legal budget. Regulatory development tracking and implementation.

Qualification and Experience

Requirements: 7-10 years relevant experience across comparable in-house positions and/or a major U.S. or international law firm. J.D. from accredited law school, admitted to practice and in good standing with relevant state bar; Excellent academic credentials. Ability to handle significant regulatory matters independently. Familiarity with U.S. and/or global securities laws, with working knowledge of the ’33 Act and ’34 Act. Understanding of industry specific issues and FINRA Rules. Excellent written and oral communication skills and strong organizational skills. Ability to prioritize amongst competing and changing deadlines. Experience with E&O, D&O and Fidelity matters. Experience managing other attorneys and supervising support staff in a corporation is required as well as experience with cost effective management of outside legal resources.

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