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Broker Dealer Attorney Jobs in New York

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Job info
Company
Law Firm, WilmerHale.
Experience
Location
New York City, NY
Posted Date
Nov 20, 18
Info Source
Employer
Total Views
42
Broker - Dealer Compliance and... of topics including trading issues; sales practice issues; product development; financing, prime brokerage and clearance matters; anti-money laundering and privacy issues; information barriers; and conflicts of interest. Learn more about Broker-Dealer Compliance and Regulation Practice....... read more
Company
In-House
Experience
2-4 yrs required
Location
New York City, NY
Posted Date
Nov 19, 18
Info Source
Employer
Total Views
3
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
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 4 yrs required
Location
New York City, NY
Posted Date
Nov 16, 18
Info Source
Employer
Total Views
34
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, BCG Attorney Search
Experience
2-3 yrs required
Location
New York City, NY
Posted Date
Nov 19, 18
Info Source
Recruiter
Total Views
25
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
In-House
Experience
Location
New York City, NY
Posted Date
Nov 14, 18
Info Source
Employer
Total Views
4
Securities, a FINRA Registered Broker Dealer (the “Firm”). ... the AML and OFAC broker-dealer compliance function. Review,... Strong understanding/knowledge of broker dealer AML regulatory requirements,... 7-10+ years of relevant broker dealer AML and sanctions... compliance experience FINRA... read more
Company
Law Firm
Experience
2-3 yrs required
Location
New York City, NY
Posted Date
Nov 03, 18
Info Source
Employer
Total Views
5
investors, investment advisers and broker-dealers. Will work in an... entrepreneurial environment with growth opportunities; and To receive excellent attorney training and development in... a collegial atmosphere. Must be junior corporate Associate with 2 - 3 years of investment management experience.... read more
Company
Recruiter, BCG Attorney Search
Experience
5-6 yrs required
Location
New York City, NY
Posted Date
Nov 19, 18
Info Source
Recruiter
Total Views
24
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
Company
Law Firm
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Nov 13, 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
5-6 yrs required
Location
New York City, NY
Posted Date
Nov 03, 18
Info Source
Employer
Total Views
2
investors, investment advisers and broker-dealers. Will work in an... entrepreneurial environment with growth opportunities; and To receive excellent attorney training and development in... a collegial atmosphere. Must be junior corporate Associate with 5-6 years of investment management experience. Specific expertise... read more
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