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Broker Dealer Attorney Jobs in New York

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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
4
Securities and broker-dealer litigation The candidate must... have excellent academic credentials.... read more
Company
In-House, Wells Fargo
Experience
Min 3 yrs required
Location
New York City, NY
Posted Date
Feb 17, 18
Info Source
Employer
Total Views
11
with extensive experience representing broker dealers on equity transactions,... markets transactions is a plus. An understanding of broker-dealer regulation, including sales and... trading regulation would be helpful. An understanding of research business and related regulation is preferred. Deadline: 02/22/2018... read more
Company
In-House
Experience
Min 10 yrs required
Location
New York City, NY
Posted Date
Feb 16, 18
Info Source
Employer
Total Views
2
services offered by the TEPS business. Should be familiar with alternative investments and private funds as well as related aspects of broker-dealer regulation. This is an... opportunity to work and grow with rapidly expanding business and make a significant impact.... read more
Company
In-House
Experience
3-5 yrs required
Location
New York City, NY
Posted Date
Feb 16, 18
Info Source
Employer
Total Views
2
Registered Funds Attorney, VP The candidate will... investment product matters under the Investment Advisers Act, Investment Company Act of 1940, the Securities Act of 1933 and Securities Exchange Act of 1934. Experience in broker-dealer and/or capital markets issues... a plus.... read more
Company
In-House
Experience
Min 3 yrs required
Location
New York City, NY
Posted Date
Feb 15, 18
Info Source
Employer
Total Views
38
regulator rules/regulations touching on broker-dealer activities (e.g., Reg W,... Reg R) a plus; of Big Data, FinTech and block chain technologies a plus. Excellent oral and written communication skills required. Strong working knowledge of fixed income products, securities, currencies, and... read more
Company
In-House, JPMorgan Chase & Co,
Experience
Min 10 yrs required
Location
New York City, NY
Posted Date
Feb 14, 18
Info Source
Employer
Total Views
102
as well as the broker-dealer’s primary regulators, to assist... legal support for the broker-dealer in its role as... a Securities Based Swap Dealer and all of its... activities in swaps and derivatives. Must have 10+ years of experience practicing law... read more
Company
In-House
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Feb 13, 18
Info Source
Employer
Total Views
13
Attorney The candidate will provide... Provide advice to affiliated broker-dealers. Interact with SEC staff... business groups and regulatory attorney is needed. Experience dealing... with regulators and compliance personnel is a plus. Strong knowledge of securities law is essential. Knowledge of... read more
Company
In-House
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Feb 12, 18
Info Source
Employer
Total Views
22
Some experience in securities and derivatives laws, including regulated entity (broker-dealer, ATS, SEF, DCM etc.)... determinations is needed. Previous experience advising on the legal and regulatory aspects of product development, preferably within a fintech / financial services environment is must.... read more
Company
Law Firm, BCG Attorney Search
Experience
4-8 yrs required
Location
New York City, NY
Posted Date
Feb 08, 18
Info Source
Recruiter
Total Views
10
client seeks investment management attorney with 4-7 years of... funds, investment advisers, and broker-dealers offering retail products, counseling... Advisers Act, and related broker-dealer and FINRA rules. Must... have a thorough working knowledge of the relevant statutes and regulatory requirements, and... read more
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