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Cftc Attorney Jobs in New York

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Job info
Company
In-House
Experience
Min 10 yrs required
Location
New York City, NY
Posted Date
Apr 18, 18
Info Source
Employer
Total Views
12
Attorney - Investment Management The... requirements under SEC and CFTC rules. Advising the business... on SEC prospectus disclosures and securities distribution agreements. Advising the business on Volcker Rule provisions on proprietary trading. Advising the business on regulatory matters pertaining to... read more
Company
In-House
Experience
Min 7 yrs required
Location
New York City, NY
Posted Date
Apr 18, 18
Info Source
Employer
Total Views
27
filings. Advise SEC and CFTC-registered investment adviser, general partners... and directors on investment-related issues, fund governance and regulatory compliance matters. Work closely with investment reseaSenior Counsel, Private Banking. Must have Juris Doctorate degree from an accredited US law school. Significant... read more
Company
In-House
Experience
7-10 yrs required
Location
New York City, NY
Posted Date
Apr 17, 18
Info Source
Employer
Total Views
121
FX, including Dodd-Frank Act, CFTC and NFA regulations, including... trade reporting, and major European regulations, including EMIR and MiFID; for Securities Lending including ETF/Alternative Funds, Banking Law, ERISA and Investment Company Act of 1940. Provide Compliance advice on the various... read more
Company
In-House
Experience
Min 4 yrs required
Location
New York City, NY
Posted Date
Apr 16, 18
Info Source
Employer
Total Views
30
the Investment Company Act of 1940, and in-depth experience with SEC filings for registered investment companies. Experience with ETFs (including registered commodity pools) is a plus. Knowledge of non-US securities laws (particularly Canada), CFTC/NFA regulations and FINRA rules... is desired.... read more
Company
In-House
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Apr 13, 18
Info Source
Employer
Total Views
6
Swap Dealer Attorney The candidate will advise... Previous experience dealing with the CFTC, NFA, SEC, and European... regulators is essential. Experience drafting and advising on swap dealer reports submitted to the CFTC is essential. ... Deadline: 22 April, 2018.... read more
Company
Recruiter
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Mar 26, 18
Info Source
Recruiter
Total Views
3
Management Associate The candidate must have experience counseling top-tier securities and investment management firms, exchanges and institutional investors on regulatory issues under the federal securities and commodities laws as well as counseling on foreign regulations, such as EMIR, that impact... read more
Company
Recruiter
Experience
1-3 yrs required
Location
New York City, NY
Posted Date
Mar 26, 18
Info Source
Recruiter
Total Views
1
To Mid-Level Investment Management Associate The candidate must have prior work experience involving securities and derivatives sales and trading issues. Involves counseling top-tier securities and investment management firms, exchanges and institutional investors on regulatory issues under the federal securities and... read more
Company
Recruiter
Experience
1-3 yrs required
Location
New York City, NY
Posted Date
Mar 26, 18
Info Source
Recruiter
Total Views
1
Management Junior To Mid-level Associate The candidate must have familiarity with securities and derivatives trading agreements, including the ISDA master agreement, the SIFMA MRA and GMRA, the SIFMA Securities Lending Master Agreement, broker-dealer and FCM customer agreements, the ISDA/FIA cleared... read more
Company
In-House
Experience
Min 4 yrs required
Location
New York City, NY
Posted Date
Apr 18, 18
Info Source
Employer
Total Views
41
Duties: Provide guidance on CFTC Swap Dealer regulations on... environment; Monitor and identify CFTC and NFA regulatory developments,... including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to Markets businesses (across asset classes including equities, futures,... read more
Company
In-House
Experience
Min 6 yrs required
Location
New York City, NY
Posted Date
Apr 18, 18
Info Source
Employer
Total Views
18
Attorney- Investment Management The candidate... requirements under SEC and CFTC rules. Advising the business... on SEC prospectus disclosures and securities distribution agreements. Advising the business on Volcker Rule provisions on proprietary trading. Advising the business on regulatory matters pertaining to... read more
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