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ProfileCapital Markets Counsel 3 - Fixed Income Sales and Trading The candidate will advise Compliance and business line partners on the interpretation and application of a broad range of SEC, FINRA and MSRB rules and regulations; participate in projects or initiatives to develop compliance and supervisory policies, procedures and practices to ensure regulatory compliance with significant new securities industry rules and regulations. Will support Compliance personnel in responding to SEC and FINRA regulatory examinations and inquiries; participate in new product and service initiatives to ensure compliance with rules and regulations applicable to those proposed activities. Review and advise business managers regarding customer proposed revisions to standard account related agreements (e.g. Client Agreement, WFBNA Safekeeping Agency Agreement, SIFMA Form 151, etc.) or the acceptance of customer prepared documentation. Provide documentation related support and advice to the pledge desk with respect to security account control and depository pledging arrangements. Assist in the review of competitive bidding requests and the preparation of bid responses.
Qualification and Experience
The candidate should have 5+ years of legal experience with a major law firm, securities regulatory agency or in-house law department; including 3+ years of representing firms in capital markets and investment banking activities. Active State Bar membership is essential. Excellent verbal, written, and interpersonal communication skill is desired. Strong organizational, multi-tasking, and prioritizing skills is essential. Experience building partnerships and consulting effectively with leadership is essential. Outstanding problem solving and decision making skills is essential. Extensive knowledge and understanding of SEC and FINRA rules and regulations relating to securities sales and trading and the related regulatory environment is preferred. Understanding of rules governing the cross-border sale of US securities is desired. Understanding of banking laws and regulations is preferred. Experience supporting middle markets fixed income sales activities and familiarity with issues arising from those activities is desired. Familiarity with fixed income electronic trading platforms and related regulatory considerations is preferred. Deadline: 08/17/2018.
Job ID 5409869
P.O. Box 1408
Concord, NC 28026-6000