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Legal - Assistant General Counsel - Corporate and Investment Bank The candidate will be responsible for working with business, risk, compliance and finance partners, as well as the broker-dealer’s primary regulators, to assist in obtaining required approvals in order to conduct non-traditional brokerage activities, such as derivatives. Provides primary legal support for the broker-dealer in its role as a Securities Based Swap Dealer and all of its activities in swaps and derivatives. Must have 10+ years of experience practicing law post-JD. Should have 10 years’ experience at a law firm and/or in-house legal department at a large bank or other financial services company with demonstrated experience managing increasingly complex matters. Experience in the investment management and securities brokerage industries, specifically including knowledge of the Securities Act, Securities Exchange Act, Investment Advisers Act of 1940, Investment Company Act and FINRA regulations is essential. Should have JD or educational equivalent degree.
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