Your search results
14 jobs found for

General Counsel Broker Dealer Jobs in New York City

Related Job Titles
Get daily email updates for your search: "general counsel broker dealer jobs in New York City NY".
Job info
Company
Recruiter
Experience
Min 4 yrs required
Location
New York City, NY
Posted Date
Aug 30, 18
Info Source
Recruiter
Total Views
3
FinTech Associate General Counsel The candidate should... regulated entities such as broker-dealers, investment advisors, securities exchanges... or ATSs (or working at the SEC or FINRA) is a plus as is having JOBS Act expertise. This generalist role will also handle... read more
Company
Recruiter
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Jul 20, 18
Info Source
Recruiter
Total Views
14
Attorney - Regulatory Counsel/Policies and Procedures The candidate... relevant to the Firm’s broker-dealers, swap dealers, futures commission... merchant, introducing broker, and investment adviser. Log... relevant information regarding regulatory developments in the Firm’s tracking system. Draft communications regarding regulatory developments to... read more
Company
Recruiter
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Aug 27, 18
Info Source
Recruiter
Total Views
9
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
Experience
Min 10 yrs required
Location
New York City, NY
Posted Date
Sep 21, 18
Info Source
Employer
Total Views
10
are licensed as a broker-dealer with FINRA and adviser... role is under the general supervision of a Chief... Compliance Officer but also must be able and willing to independently manage assigned projects and handle complex legal & compliance issues. This... read more
Company
In-House
Experience
2-4 yrs required
Location
New York City, NY
Posted Date
Sep 25, 18
Info Source
Employer
Total Views
2
Broker Dealer Attorney The candidate... functions related to our Broker Dealer. Provide legal counsel... to the broker-dealer regarding... compliance and regulatory... and arbitration matters. Manage broker-dealer regulatory examinations and inquires.... supervisory procedures relating to broker-dealer functions. Assist with internal... have 2-4 years of Broker Dealer experience. Excellent organizational...... read more
Company
Law Firm
Experience
3-6 yrs required
Location
New York City, NY
Posted Date
Sep 26, 18
Info Source
Employer
Total Views
2
the fastest growing FinTech broker-dealers, robo-advisers and crypto-focused companies.... Preferred qualifications include experience with: reviewing, researching and analyzing federal securities laws and regulations, as well as FINRA rules; forming FINRA member broker-dealers; advising crypto exchanges and... other blockchain focused companies;... read more
Company
Recruiter
Experience
Min 2 yrs required
Location
New York City, NY
Posted Date
Aug 24, 18
Info Source
Recruiter
Total Views
1
Counsel The candidate should have... significant Asset Management expertise. Must have experience should include representation of Investment Advisers, registered investment companies and unregistered investment funds and broker-dealers. Portable business is preferred....... read more
Company
In-House
Experience
5-10 yrs required
Location
New York City, NY
Posted Date
Sep 07, 18
Info Source
Employer
Total Views
34
Deputy General Counsel The candidate will... of, external investment banking counsel, including review of related... as determined by firm's General Counsel from time to... time.... required. Familiarity with FINRA broker-dealer rules and regulations is... required. Must have ability to participate... read more
Company
In-House
Experience
5-8 yrs required
Location
Jersey City, NJ
Posted Date
Sep 20, 18
Info Source
Employer
Total Views
128
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 10 yrs required
Location
Jersey City, NJ
Posted Date
Sep 14, 18
Info Source
Employer
Total Views
33
Managing Counsel-PAS- Broker Dealer The candidate... will support broker dealer business that provides... Advisers. The Director, Managing Counsel will negotiate contracts with... clients for a variety of advisory and custodial products and services. This position serves as an adviser within... read more
Narrow Your Search Results - Try Advanced Search

Search All New York City General Counsel Broker Dealer Jobs

Also Search general counsel broker dealer Jobs near New York City, NY: