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Broker Dealer Attorney Jobs in Newark

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Job info
Company
In-House, Prudential Financial, Inc
Experience
8-15 yrs required
Location
Newark, NJ
Posted Date
Apr 10, 19
Info Source
Employer
Total Views
58
and counsel to the broker-dealer supporting firm's investment management,... and counsel to the broker-dealers supporting firm's life and... counseling firm's insurers and broker-dealers with respect to federal... and state regulatory matters as well as FINRA. Working closely with Business Unit... read more
Company
In-House, Prudential Financial, Inc
Experience
Min 10 yrs required
Location
Newark, NJ
Posted Date
Apr 05, 19
Info Source
Employer
Total Views
18
the following compliance teams: broker-dealer oversight (responsible for maintaining... broker-dealer policies and procedures and... support for the broker-dealer); investment advisory compliance team... trending on other relevant broker-dealer activities); and the pre-hire... team (background check and other registration activities). The team... read more
Company
Recruiter
Experience
Location
New York City, NY
Posted Date
Mar 29, 19
Info Source
Recruiter
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
In-House
Experience
Min 4 yrs required
Location
New York City, NY
Posted Date
Apr 10, 19
Info Source
Employer
Total Views
6
Capital Markets Attorney The candidate will assist... with trading and other broker-dealer rules is helpful but... not required if there is a strong securities law background. J.D Required and licensed to practice law in at least one state. Must possess... read more
Company
In-House, Bank of America Merrill Lynch
Experience
Min 10 yrs required
Location
New York City, NY
Posted Date
Apr 16, 19
Info Source
Employer
Total Views
140
Attorney, Capital Markets The candidate... the business on its broker-dealer obligations in secondary market... over-the-counter market. Advising on broker-dealer order routing, disclosure, and... execution obligations. Advising on broker-dealer requirements pertaining to order... matters pertaining to its broker-dealer activities. Participating in the...... read more
Company
In-House, RSM US LLP.
Experience
Min 8 yrs required
Location
New York City, NY
Posted Date
Apr 10, 19
Info Source
Employer
Total Views
52
private equity, hedge fund, broker-dealer and real estate investments... is essential. Experience in the review of international compliance for the above and experience with Chapter 3 & 4 related matters is essential. Must be able to support financial growth efforts... read more
Company
Recruiter
Experience
Location
New York City, NY
Posted Date
Feb 15, 19
Info Source
Recruiter
Total Views
15
Total Applies
2
for a Junior level Attorney with big firm training... dollar) and in providing regulatory guidance 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.... read more
Company
Recruiter
Experience
Location
New York City, NY
Posted Date
Mar 29, 19
Info Source
Recruiter
Broker Dealer/Margin Lending The candidate... 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 communications skills and a strong grounding in issues... read more
Company
Recruiter
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Feb 13, 19
Info Source
Recruiter
Total Views
4
Associate Attorney The candidate must have... international funds, investment advisers, broker dealers, and other financial... services businesses in structuring, formation and operation, as well as in various transactions including with respect to financings, acquisitions and formation of alternative investment structures... read more
Company
In-House
Experience
3-5 yrs required
Location
New York City, NY
Posted Date
Apr 18, 19
Info Source
Employer
Total Views
6
SEC standards applicable to broker-dealers (Rules 15c3-1 and 15c3-3)... in external-facing industry events and regulatory meetings. Must be NY-licensed attorney. Should have 3-5 years... of relevant legal experience, preferably at a law firm, regulatory agency or large regulated financial institution.... read more
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