practice represents a diverse range of entities and individuals in matters related to securities market participants, including broker-dealers and registered investment advisers... - The group is involved in enforcement matters before the SEC, DOJ, PCAOB, and other regulators -...
as well as banks, broker-dealers, and other traditional financial... sector leaders. - Handle complex regulatory matters for clients, including regulatory structuring and negotiation of critical contracts. - Engage in product innovation and provide legal guidance on regulatory compliance. - Conduct thorough research and...
federal securities laws. Key responsibilities include: - Addressing Investment Company Act status issues and providing legal opinions. - Handling broker-dealer and investment adviser status... issues. - Offering counsel on broker-dealer and investment adviser registration... and compliance. - Assisting in t...
Title: M&A, Private Equity, Capital Markets & Finance Associate Job Responsibilities: The M&A, Private Equity, Capital Markets & Finance Associate at the law firm will be involved in a variety of corporate and finance transactional work. The responsibilities include: - Engaging in complex...
a junior associate with 1-3 years of experience and one for a midlevel associate with 4-5 years of experience at a large law firm. - Must have experience with regulatory matters in the financial services space, such as broker-dealer, investm...
Title: Financial Services Associate (Attorney) Job Responsibilities: The Financial Services Associate will be responsible for engaging in corporate finance transactions with a strong emphasis on blockchain and digital technologies. The role involves working with both new and established companies in the token,...
Title: Futures & Derivatives Associate Job Responsibilities: The Futures & Derivatives Associate will be a part of the law firm's Futures and Derivatives practice. The responsibilities include advising financial market participants on various aspects of US commodity, futures, and derivatives regulatory, transactional,...
complex capital markets transactions. Serve as a strategic advisor to clients, often working closely with corporate executives, investment bankers, and regulators. Provide day-to-day legal and compliance advice to broker-dealers, RIAs, and private funds.... Act as underwriters counsel on public...