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General Counsel Broker Dealer Jobs in New York City

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Job info
Company
In-House
Experience
Min 3 yrs required
Location
New York City, NY
Posted Date
Dec 12, 18
Info Source
Employer
Total Views
15
Asset Management products and general securities law, broker dealer... and Advisers Act and... 40 Act issues. The Goldman Sachs Asset Management legal team provides ongoing support with respect to other advisory and asset management issues as well.... read more
Company
In-House
Experience
10-15 yrs required
Location
New York City, NY
Posted Date
Dec 11, 18
Info Source
Employer
Total Views
1
maintained by a dual broker-dealer and RIA and executing... on opportunities for enhancements. Advise the business and provide compliance support for new fund and product launches. Keep abreast of industry trends and anticipate areas of focus and attention of regulators.... read more
Company
Recruiter
Experience
3-5 yrs required
Location
New York City, NY
Posted Date
Oct 24, 18
Info Source
Recruiter
Total Views
2
Broker Dealer/Margin Lending Attorney The... responsibilities, including advice and counsel to key internal stakeholders... on structuring and regulatory developments as well as transactional support. As such, the role will require outstanding communications skills and a strong grounding in issues pertaining... read more
Company
In-House
Experience
Min 3 yrs required
Location
New York City, NY
Posted Date
Dec 13, 18
Info Source
Employer
Total Views
1
funds, private equity firms, broker-dealers and investment managers. Prepare... complex Financial Services sector tax returns. Review tax returns and projects prepared by Tax Staff, while gaining increasing responsibility within the review process. Perform research, analysis and write up work in... read more
Company
Law Firm
Experience
3-6 yrs required
Location
New York City, NY
Posted Date
Dec 14, 18
Info Source
Employer
rules; forming FINRA member broker-dealers; advising crypto exchanges and... other blockchain focused companies; reviewing FinCEN AML regulations and advising necessary compliance; licensing entities with states as money transmitters; responding to and navigating SEC, FINRA and state regulatory examination and/or enforcement... read more
Company
In-House, American International Group, ...
Experience
5-8 yrs required
Location
Jersey City, NJ
Posted Date
Dec 11, 18
Info Source
Employer
Total Views
177
Assistant General Counsel The candidate will... and information statements and general fund matters. Act as... Support the firm’s affiliated broker-dealer in connection with negotiating... and operations, in providing general legal advice relating to... the funds. Client-facing role - expected to... read more
Company
In-House
Experience
Min 8 yrs required
Location
New York City, NY
Posted Date
Dec 13, 18
Info Source
Employer
Total Views
11
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
In-House, Prudential Financial, Inc
Experience
8-15 yrs required
Location
Newark, NJ
Posted Date
Nov 27, 18
Info Source
Employer
Total Views
51
Vice President, Corporate Counsel The candidate will be... and regulatory advice and counsel to the broker-dealer supporting... and regulatory advice and counsel to the broker-dealers supporting... broker-dealers provide legal analysis and counsel in connection with the... experience as broker-dealer/insurance distribution counsel, including providing advice regarding...... read more
Company
Recruiter
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Oct 25, 18
Info Source
Recruiter
Total Views
2
Corporate/finance Attorney The candidate join Investment Management group. 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, Prudential Financial, Inc
Experience
Min 5 yrs required
Location
Iselin, NJ
Posted Date
Dec 13, 18
Info Source
Employer
Total Views
12
Vice President, Corporate Counsel The candidate will be... retirement plans and products. Broker-dealer/FINRA expertise is a plus.... Working knowledge of ERISA and of insurance regulatory requirements is critical to job success. An ability to communicate complex legal and business concepts,... read more
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