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32 jobs found for

General Counsel Broker Dealer Jobs in New York City

Job info
Company
Recruiter
Experience
5-7 yrs required
Location
New York City, NY
Posted Date
Apr 24, 18
Info Source
Recruiter
Total Views
3
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 1 yrs required
Location
New York City, NY
Posted Date
Mar 26, 18
Info Source
Recruiter
Total Views
10
Total Applies
1
the federal securities, with particular focus on investment adviser registration and regulation, the development of wrap and managed account programs, SEC examinations, corporate and transactional matters. Should have experience with regulatory matters involving broker-dealers, commodity trading advisors and... private funds.... read more
Company
Recruiter
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Apr 12, 18
Info Source
Recruiter
Total Views
1
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
Min 3 yrs required
Location
New York City, NY
Posted Date
Apr 12, 18
Info Source
Recruiter
Total Views
3
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
6
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, IEX Corporation
Experience
Min 7 yrs required
Location
New York City, NY
Posted Date
Apr 26, 18
Info Source
Employer
Total Views
157
Associate General Counsel The candidate will... other regulators on exchange, broker-dealer and other regulatory matters.... Handling employment matters, updating of relevant policies and procedures. Research relevant legal and regulatory changes within equity market structure. Support legal projects appropriately in a... read more
Company
Recruiter
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Apr 20, 18
Info Source
Recruiter
Total Views
1
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
Recruiter
Experience
2-4 yrs required
Location
New York City, NY
Posted Date
Mar 09, 18
Info Source
Recruiter
Total Views
1
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 7 yrs required
Location
New York City, NY
Posted Date
Apr 26, 18
Info Source
Employer
Total Views
38
(commercial, retail, private banking, broker dealers) and transactional flows;... nd Common and emerging issues impacting Financial Services clients. Should have 7+ years of pqe. Knowledge of data analytics and risk modelling as it relates to AML/BSA and OFAC solutions: Development... read more
Company
Law Firm, BCG Attorney Search
Experience
5-18 yrs required
Location
New York City, NY
Posted Date
Mar 11, 18
Info Source
Recruiter
Total Views
204
Total Applies
11
of investment adviser and/or broker-dealer compliance experience with respect... to the Investment Advisors Act of 1940. This is an opportunity to work virtually from anywhere in the U.S for investment adviser Chief Compliance Officers (CCOs), General Counsels, and senior compliance...... read more
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