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Broker Dealer Attorney Jobs in New York

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Job info
Company
Recruiter
Experience
5-7 yrs required
Location
New York City, NY
Posted Date
Apr 24, 18
Info Source
Recruiter
Total Views
3
Broker Dealer/Margin Lending Attorney The... candidate responsibilities will including advice and counsel to key internal stakeholders on structuring and regulatory developments as well as transactional support. Must have 3-5 years of pqe. Should have strong grounding in issues pertaining to... read more
Company
In-House
Experience
Min 7 yrs required
Location
New York City, NY
Posted Date
May 16, 18
Info Source
Employer
Total Views
10
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
Law Firm
Experience
3-6 yrs required
Location
New York City, NY
Posted Date
May 19, 18
Info Source
Employer
Total Views
7
rules; forming FINRA member broker-dealers; advising crypto exchanges and... other blockchain focused companies; reviewing FinCEN AML regulations and advising necessary compliance; licensing entities with states as money transmitters; responding to and navigating SEC, FINRA and state regulatory examination and/or enforcement... read more
Company
In-House, IEX Corporation
Experience
Min 7 yrs required
Location
New York City, NY
Posted Date
May 18, 18
Info Source
Employer
Total Views
224
other regulators on exchange, broker-dealer and other regulatory matters.... experience as a practicing attorney in large law firm... or in-house legal department. Experience and subject matter expertise related to corporate law matters, litigation matters and overall legal matters relevant to... read more
Company
In-House
Experience
Min 3 yrs required
Location
New York City, NY
Posted Date
May 18, 18
Info Source
Employer
Total Views
15
Legal, Asset Management Attorney, Vice President The candidate... and general securities law, broker dealer and Advisers Act... and 40 Act issues. Must have 3+ years' related legal experience post-JD. Should have significant experience with fund formation and asset-raising efforts. Strong... read more
Company
Law Firm
Experience
Min 4 yrs required
Location
New York City, NY
Posted Date
May 18, 18
Info Source
Employer
Total Views
4
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
In-House
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
May 22, 18
Info Source
Employer
Total Views
20
M&A Analyst The candidate will support of underwriting team specializing in underwriting of insurable risks as they relate to corporate M&A transactions (including preparation of deal documents) and development of relationships with M&A source producers (brokers, lawyers and private equity... read more
Company
In-House
Experience
Min 7 yrs required
Location
New York City, NY
Posted Date
May 22, 18
Info Source
Employer
Total Views
26
or 9 and 10 required OR Series 7, 66 with an advanced law degree. Strong international exposure is required. Strong understanding of AML/ OFAC regulations is needed. Must have strong understanding of commercial banking and broker dealer products and services....... read more
Company
In-House
Experience
Min 3 yrs required
Location
Buffalo, NY
Posted Date
May 22, 18
Info Source
Employer
Total Views
3
include: Deposits, Lending, Fiduciary, Broker Dealer, Insurance, Investment Advisor,... Administrative Support or combinations thereof. Interact with departmental and business unit compliance coordinators, senior and middle management to ensure compliance with laws and regulations. May supervise other Centralized Compliance personnel with... read more
Company
In-House
Experience
Min 7 yrs required
Location
New York City, NY
Posted Date
May 21, 18
Info Source
Employer
Total Views
63
(commercial, retail, private banking, broker dealers) and transactional flows;... nd Common and emerging issues impacting Financial Services clients. Should have 7+ years of pqe. Knowledge of data analytics and risk modelling as it relates to AML/BSA and OFAC solutions: Development... read more
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