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Broker Dealer Litigation Attorney Jobs in New York

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Job info
Company
In-House
Experience
2-4 yrs required
Location
New York City, NY
Posted Date
Dec 10, 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... litigation 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
In-House
Experience
Location
New York City, NY
Posted Date
Dec 14, 18
Info Source
Employer
Total Views
6
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... to attend to certain litigation functions (i.e., mediations, depositions,...... 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
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