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Broker Dealer Attorney Jobs in New York City

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SPONSORED JOB
Company
BCG Attorney Search
Experience
1-6 yrs required
Location
New York City, NY
Posted Date
Dec 08,18
Info Source
Recruiter
Total Views
3
seeks investment management and broker dealer regulatory associate attorney with... 2-4 years of a wide variety of broker dealer and investment adviser clients... governing investment advisers and broker dealers, bank fiduciaries, pooled investment...... read more
Company
In-House
Experience
2-4 yrs required
Location
New York City, NY
Posted Date
Dec 07, 18
Info Source
Employer
Total Views
5
Broker Dealer Attorney The candidate... functions related to our Broker Dealer. Provide legal counsel... to the broker-dealer regarding compliance and regulatory... and arbitration matters. Manage broker-dealer regulatory examinations and inquires.... supervisory procedures relating to broker-dealer functions. Assist with internal... have 2-4 years of Broker Dealer experience. Excellent organizational...... read more
Company
Law Firm
Experience
2-3 yrs required
Location
New York City, NY
Posted Date
Dec 08, 18
Info Source
Employer
Total Views
3
Investment Management and Broker-Dealer Regulatory Associate The candidate... governing investment advisers and broker-dealers, bank fiduciaries, pooled investment... a wide variety of broker-dealer and investment adviser clients... seeking to deliver services in various markets through different platforms and mediums in compliance... read more
Company
Recruiter
Experience
Min 3 yrs required
Location
New York City, NY
Posted Date
Sep 14, 18
Info Source
Recruiter
Total Views
3
Mid-level Associate The candidate must have experience in capital markets, M&A/private equity, asset management, litigation, broker-dealer and intellectual property.... read more
Company
In-House
Experience
Min 3 yrs required
Location
New York City, NY
Posted Date
Nov 29, 18
Info Source
Employer
Total Views
13
Legal Asset Management Attorney, Vice President The candidate... and general securities law, broker dealer and Advisers Act... and 40 Act issues. The Goldman Sachs Asset Management legal team provides ongoing support with respect to other advisory and asset management issues... read more
Company
Recruiter
Experience
3-5 yrs required
Location
New York City, NY
Posted Date
Oct 24, 18
Info Source
Recruiter
Total Views
2
Broker Dealer/Margin Lending Attorney The... and ’34 Acts, Dodd Frank Title VII, and other related financial laws. Cleared derivatives experience is highly desirable. This attorney will enjoy visibility and... opportunity for rapid professional growth in a highly sought after organization.... read more
Company
Law Firm
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Nov 27, 18
Info Source
Employer
Total Views
4
Blue Sky Attorney The candidate duties include:... related federal and state broker-dealer laws, processes and procedures... private investment funds and broker-dealer exemptions. Draft and supervise... state securities/Blue Sky and broker-dealer laws, rules and regulations... experience as a corporate attorney with a primary focus...... read more
Company
Law Firm
Experience
Min 4 yrs required
Location
New York City, NY
Posted Date
Dec 01, 18
Info Source
Employer
Total Views
35
experience working on matters related to the investment management field, such as registered funds, ETFs, hedge funds, and investment advisors. Additional experience with broker-dealers is a plus. A... superior academic record, strong work ethic and excellent writing skills are required.... read more
Company
Recruiter
Experience
2-3 yrs required
Location
New York City, NY
Posted Date
Nov 30, 18
Info Source
Recruiter
Total Views
2
Junior Securities Attorney The candidate will support... to internal business stakeholders (e.g., SEC, SRO rules). Excellent negotiation skills and a grounding in securities laws, broker dealer regs and SRO... rules are required. Must have 2-3 years of post qualification experience.... read more
Company
Recruiter, BCG Attorney Search
Experience
1-5 yrs required
Location
New York City, NY
Posted Date
Dec 05, 18
Info Source
Recruiter
Total Views
28
Total Applies
5
corporate investment management associate attorney with 2-3 years of... investors, investment advisers and broker-dealers. Should have specific expertise... in hedge fund and/or private equity fund formation and structuring. Familiarity with the Investment Advisers Act of 1940 and regulatory/compliance experience is... read more
Company
Recruiter, BCG Attorney Search
Experience
4-8 yrs required
Location
New York City, NY
Posted Date
Dec 05, 18
Info Source
Recruiter
Total Views
25
Total Applies
2
mid-level/senior investment management associate attorney with 5-6 years of... investors, investment advisers and broker-dealers. Should have specific expertise... in hedge fund and/or private equity fund formation and structuring. Familiarity with the Investment Advisers Act of 1940 and regulatory/compliance experience is... read more
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