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61 jobs found for

Broker Dealer Attorney Jobs in New York City

Job info
Company
Recruiter
Experience
Location
New York City, NY
Posted Date
Feb 05, 18
Info Source
Recruiter
Total Views
1
Broker Dealer Attorney The candidate... must have excellent academic credentials.... read more
Company
Recruiter
Experience
Location
New York City, NY
Posted Date
Feb 07, 18
Info Source
Recruiter
Total Views
6
Securities and broker-dealer litigation The candidate must... have excellent academic credentials.... read more
Company
In-House
Experience
Min 7 yrs required
Location
New York City, NY
Posted Date
Apr 13, 18
Info Source
Employer
Total Views
6
Associate/VP, Broker-Dealer Control Room/Research Compliance The... candidate will work as part of the Control Room and Research Compliance team and be responsible for Performing core Control Room advisory and monitoring functions. Will be reviewing equity research reports where the subject... read more
Company
Recruiter
Experience
3-5 yrs required
Location
New York City, NY
Posted Date
Apr 03, 18
Info Source
Recruiter
Total Views
1
Broker Dealer/Margin Lending Attorney The... candidate will support its thriving prime financing business. Will encompass unusually wide ranging responsibilities, including advice and counsel to key internal stakeholders on structuring and regulatory developments as well as transactional support. Must have outstanding... read more
Company
Law Firm, BCG Attorney Search
Experience
5-18 yrs required
Location
New York City, NY
Posted Date
Mar 04, 18
Info Source
Recruiter
Total Views
199
Total Applies
10
company is seeking an attorney for a contract attorney... position with 5+ years... of investment adviser and/or broker-dealer compliance experience with respect... to the Investment Advisors Act of 1940. This is an opportunity to work virtually from anywhere in the... read more
Company
Recruiter
Experience
1-3 yrs required
Location
New York City, NY
Posted Date
Mar 14, 18
Info Source
Recruiter
Total Views
6
the federal securities, with particular focus on investment adviser registration and regulation, the development of wrap and managed account programs, SEC examinations, corporate and transactional matters. Experience with regulatory matters involving broker-dealers, commodity trading advisors and... private funds are helpful.... read more
Company
Recruiter
Experience
1-3 yrs required
Location
New York City, NY
Posted Date
Mar 05, 18
Info Source
Recruiter
Total Views
1
examinations, corporate and transactional matters. Experience with regulatory matters involving broker-dealers, commodity trading advisors and... private funds is helpful. Must have a JD degree from an ABA-approved law school and be an active member in good standing of the Bar.... read more
Company
Recruiter
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Mar 26, 18
Info Source
Recruiter
Total Views
3
Securities Lending Master Agreement, broker- dealer and FCM customer... adviser registration and regulation, broker-dealer regulatory issues and the... CFTC’s CPO and CTA registration and regulatory requirement. Must have a JD degree from an ABA-approved law school and be an active... read more
Company
Recruiter
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Mar 26, 18
Info Source
Recruiter
Total Views
10
Total Applies
1
the federal securities, with particular focus on investment adviser registration and regulation, the development of wrap and managed account programs, SEC examinations, corporate and transactional matters. Should have experience with regulatory matters involving broker-dealers, commodity trading advisors and... private funds.... read more
Company
Recruiter
Experience
1-3 yrs required
Location
New York City, NY
Posted Date
Mar 26, 18
Info Source
Recruiter
Total Views
1
Securities Lending Master Agreement, broker-dealer and FCM customer agreements,... the MSFTA. Familiarity with the Investment Company Act of 1940, investment adviser registration and regulation, broker-dealer regulatory issues and the... CFTC’s CPO and CTA registration and regulatory requirements are a plus.... read more
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