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General Counsel Broker Dealer Jobs in Manhattan

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Job info
Company
In-House, NFP Corp.
Experience
Min 4 yrs required
Location
New York City, NY
Posted Date
Sep 17, 19
Info Source
Employer
Total Views
21
Tax Insurance Broker The candidate analyze new... tax risk opportunities and prepare insurance market submissions regarding tax, Representations & Warranties Insurance (RWI) or other M&A insurance products as appropriate. Tax risks include tax issues relevant to the overall deal structure... read more
Company
In-House, CREDIT SUISSE GROUP AG
Experience
5-10 yrs required
Location
New York City, NY
Posted Date
Sep 18, 19
Info Source
Employer
Total Views
22
protection matters (including U.S. broker-dealer customer protection rule and... U.K. CASS rules) and other key legal and regulatory matters related to custody (e.g., AIFMD). Advise, support and drive key strategic initiatives and transactions in relation to custody and clearing arrangements,... read more
Company
In-House, Mizuho Americas LLC
Experience
Location
New York City, NY
Posted Date
Sep 17, 19
Info Source
Employer
Total Views
24
support to Mizuho U.S. broker dealer and swap dealer... entities’ equities and fixed... law issues and other general legal matters; Prepare, negotiate... respect to CFTC Swap Dealer requirements; Maintain & update... documentation templates, manage information database and ensure relevant reports,... read more
Company
Recruiter
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Jul 19, 19
Info Source
Recruiter
Total Views
2
Total Applies
1
in financial services and general experience both working in... teams and in managing substantial components of transactions independently. Specific experience representing domestic and international funds, investment advisers, broker dealers, and other financial... services businesses in structuring, formation and operation, as... read more
Company
In-House, Bessemer Trust Company, Inc.
Experience
Min 3 yrs required
Location
New York City, NY
Posted Date
Sep 17, 19
Info Source
Employer
Total Views
113
Assistant General Counsel The candidate will... and other regulatory and general corporate matters for a... and an SEC registered broker-dealer. Will also provide similar... regulations. Identify and analyze general corporate and corporate governance... issues and draft related documents. Advise client... read more
Company
Recruiter
Experience
Min 5 yrs required
Location
Jersey City, NJ
Posted Date
Jul 24, 19
Info Source
Recruiter
Total Views
2
Total Applies
1
of experience with a Broker-dealer. In depth experience in... the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, Exchange Act of 1934 and FINRA rules is required. Extensive experience with the Investment... read more
Company
In-House
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Sep 08, 19
Info Source
Employer
Total Views
5
Assistant General Counsel - ICG Regulatory... Bank, as well as broker-dealer businesses within Personal Wealth... well as supervise outside counsel in all aspects of... investigations and proceedings. Work closely with colleagues in other regions around the globe on cross-border and... read more
Company
In-House, Goldman Sachs Group, Inc
Experience
Min 7 yrs required
Location
New York City, NY
Posted Date
Sep 04, 19
Info Source
Employer
Total Views
9
data analysis. Manage outside counsel. Collaborate across control groups... have substantive knowledge of broker dealer regulation, including Securities... Exchange Act, Bank Holding Company and Financial Holding Company regulatory principles and intellectual property and privacy laws. Outstanding law firm credentials and... read more
Company
Government
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Sep 17, 19
Info Source
Employer
Total Views
7
Assistant Attorney General The candidate will be... with registrants and their counsel regarding New York registration... requirements and processes. Investigating and litigating registration related cases and other violations of the Martin Act. Reviewing and making recommendations to implement new and... read more
Company
In-House, RSM US LLP.
Experience
Min 8 yrs required
Location
New York City, NY
Posted Date
Sep 18, 19
Info Source
Employer
Total Views
112
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
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