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General Counsel Broker Dealer Jobs in New York City

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Company
Recruiter
Experience
5-7 yrs required
Location
New York City, NY
Posted Date
Apr 24, 18
Info Source
Recruiter
Total Views
5
Broker Dealer/Margin Lending Attorney The... will including advice and counsel to key internal stakeholders... on structuring and regulatory developments as well as transactional support. Must have 3-5 years of pqe. Should have strong grounding in issues pertaining to equity and... read more
Company
Recruiter
Experience
Min 3 yrs required
Location
New York City, NY
Posted Date
Jun 13, 18
Info Source
Recruiter
Total Views
8
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 and implementation of investment products. Must... read more
Company
Recruiter
Experience
2-4 yrs required
Location
New York City, NY
Posted Date
Jan 30, 18
Info Source
Recruiter
Total Views
7
the firm’s registered institutional broker-dealers, swap dealers and futures... commission merchant. Will send daily email alerts to relevant Legal and Compliance personnel regarding regulatory developments. Assist with management and publication of policies and procedures for ISG Americas, including working with... read more
Company
In-House
Experience
3-5 yrs required
Location
New York City, NY
Posted Date
Jun 26, 18
Info Source
Employer
Total Views
59
Assistant General Counsel Reporting to the... General Counsel and an Associate... General Counsel, the Assistant General... Counsel’s responsibilities will include... advising on contractual, general corporate, and corporate governance... six-lawyer and four paralegal General Counsel’s office. Job Responsibilities:... agreements; Identify and analyze general corporate and corporate governance... counsel... read more
Company
In-House
Experience
Min 3 yrs required
Location
New York City, NY
Posted Date
Jul 04, 18
Info Source
Employer
Total Views
48
for AM products and general securities law, broker dealer... and Advisers Act and... 40 Act issues. Must have 3+ years' related legal experience post-JD. Should have significant experience with fund formation and asset-raising efforts. Strong substantive knowledge of the Investment... read more
Company
Recruiter
Experience
3-5 yrs required
Location
New York City, NY
Posted Date
Mar 26, 18
Info Source
Recruiter
Total Views
11
Total Applies
1
candidate should have 3-5+ years of corporate experience for a full-time associate position primarily servicing international transactions both inbound and outbound. No international experience appreciated. The work varies from joint ventures to investment advisor, M&A, general corporate, and broker/dealer regulation....... read more
Company
Recruiter
Experience
2-4 yrs required
Location
New York City, NY
Posted Date
Mar 09, 18
Info Source
Recruiter
Total Views
3
Financial Institutions Regulatory, Enforcement and Litigation Associate The candidate should have 2-4 years of experience representing and advising broker-dealers, investment advisers and international... financial institutions in securities regulatory matters and enforcement proceedings, including trade finance negotiation and cross-border restructuring.... read more
Company
In-House
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Jul 06, 18
Info Source
Employer
Total Views
32
Legal - Assistant General Counsel - Mutual Funds,... on complex and sophisticated broker-dealer issues is a plus.... Must have strong interpersonal, analytical, problem-solving, organizational and communication skills. Must have Juris Doctorate degree. or educational equivalent. Must be in compliance with... read more
Company
Recruiter
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Apr 20, 18
Info Source
Recruiter
Total Views
8
Corporate/Finance Attorney The candidate must have experience required involves partnerships, mutual funds and preferably familiarity with broker/dealer issues. Stellar academics and... major law firm training required.... read more
Company
In-House
Experience
Min 3 yrs required
Location
New York City, NY
Posted Date
Jul 04, 18
Info Source
Employer
Total Views
8
Broker Analyst - Transaction Liability... The candidate: Advises clients on placement of transaction liability insurance products. Identifies new Merger and Acquisition (M&A) and transaction liability opportunities in large/complex accounts. Sells complex services/solutions to senior managers and C-Suite level at prospects... read more
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