Search using our robust engine. Get the recommendations you need to get ahead.
Browse through our expansive list of legal practice areas.
Work where you are or where you would like to be. Find where you will work with LawCrossing.
Use our marketplace to feature your opportunity
Start your search today
Set up your account and manage your company profile on LawCrossing
Look through and compare company profiles
Learn from the legal expert
Discover salaries and the scope of your next job
LawCrossing Works Read Testimonials and Share your Story
Do Not Be Influenced by Others’ Negative Opinions of You
In-House
Attorney
Finance - Banking
2-5 yrs required
Attorney The candidate will be responsible for routinely and independently engaging with and providing timely and thorough legal advice to Sales & Trading personnel relating to the cash equities and options business, including but not limited to high-touch trading and electronic trading. Providing support in drafting responses and otherwise communicating with various regulators in connection with investigations, examinations, and general inquiries. Reviewing and interpreting new, or revised, state or federal laws, rules, regulations and guidance relating to the institutional brokerage business. Advising with regard to federal and state laws, rules and regulations that affect securities activities of the Global Banking and Markets division. Providing advice and guidance with respect to related products and services, often as part of a project team. Developing close partnerships with other in-house control partners in the Legal Department, Compliance, Risk and Audit. In the event external counsel is engaged, helping to liaison with the business, coordinating and managing the work done by external counsel. Supervising research and general work performed by paralegals on the team.
Qualification and Experience
The candidate must have 2-5 years’ experience covering U.S securities laws and regulations related to the financial services industry (securities/brokerage/banking), with a preference for equities experience. Must have excellent communications skills, both written and oral, and meticulous attention to detail. Should have ability to collaborate and partner in a team-oriented environment and to navigate and coordinate across the Legal Department. Must have Juris Doctor degree or equivalent law degree. Should be admitted to any United States bar in good standing. Regulatory experience, or dealing with regulators a plus. Prior experience handling litigation matters and/or pre-litigation disputes is desired. Prior in-house legal department experience at a financial services company is preferred; large law firm experience also desirable.
Job number: 19052072
Sign Up Now