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Regulatory Broker Dealer Securities Attorney Jobs in New York City

Job info
Company
Recruiter
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Aug 21, 17
Info Source
Recruiter
Junior and Mid-level Associates The candidates should have experience in capital markets, M&A/private equity, asset management, bank regulatory, litigation, broker-dealer, regulatory and... intellectual property matters.... read more
Company
Recruiter
Experience
Min 2 yrs required
Location
New York City, NY
Posted Date
Jul 20, 17
Info Source
Recruiter
Investment Adviser and Broker-Dealer Regulatory Associate Attorney The candidate... have 2+ years of investment adviser and broker-dealer regulatory experience. Will allow an... experienced candidate to develop and broaden his or her analytical skills and expertise on dynamic and demanding projects.... read more
Company
In-House
Experience
5-10 yrs required
Location
New York City, NY
Posted Date
Sep 21, 17
Info Source
Employer
Investment Management Regulatory Counsel The candidate will... Head of Policies and Regulatory Initiatives in analyzing new... anticipate and meet the regulatory requirements of new and... to key legal and regulatory requirements. Collaborating with Compliance... specialized training on complex regulatory topics. Providing advice and... broker... read more
Company
In-House
Experience
Min 3 yrs required
Location
New York City, NY
Posted Date
Sep 19, 17
Info Source
Employer
Semi-Annual and Annual Primary Dealer Compliance Program for the... on current and new regulatory rules. Assist in responding... to regulatory inquiries. Undertake pro-active and... officer experience at a broker-dealer, governmental agency or self-regulatory... organization. Experience drafting policies, implementing procedures, training,... read more
Company
Recruiter
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Jul 20, 17
Info Source
Recruiter
Regulatory Compliance Associate The candidate... file investment adviser and broker-dealer applications with the Securities... database of client and regulatory information. Provide assistance to... clients in responding to regulatory inquiries and enforcement actions.... of Investment Adviser and/or Broker-Dealer Compliance experience. Bachelor's Degree...... read more
Company
In-House
Experience
2-5 yrs required
Location
New York City, NY
Posted Date
Sep 19, 17
Info Source
Employer
a willingness to learn securities and derivatives regulation and... a broad portfolio of regulatory issues facing electronic trading,... office environment. Familiarity with securities and/or derivatives regulations is... legal issues pertaining to securities or futures exchanges, investment... advisers, broker-dealers, public and private securities...... read more
Company
In-House
Experience
5-10 yrs required
Location
New York City, NY
Posted Date
Aug 24, 17
Info Source
Employer
company. Advise on SEC regulatory and compliance procedures. Manage... law corporate governance, and regulatory compliance required Experience in... Investment advisory law, broker-dealer law and commercial banking... a plus. Knowledge of JOBS Act, ACT 40, 506(C) regulations preferred. Series 7, 24,... read more
Company
In-House
Experience
Min 10 yrs required
Location
New York City, NY
Posted Date
Sep 18, 17
Info Source
Employer
Assist Compliance in all regulatory matters, including all SEC... a registered limited purpose broker-dealer and a commodity pool... alternative investments and brokerage regulatory matters required. Experience with... required. Familiarity with the Securities Exchange Act of 1934,... the Investment Advisers Act... read more
Company
Recruiter
Experience
1-3 yrs required
Location
New York City, NY
Posted Date
Aug 30, 17
Info Source
Recruiter
experience with investment advisory regulatory matters. Involves counseling top-tier... securities and investment management firms... on regulatory matters under the federal... securities, with particular focus on... transactional matters. Experience with regulatory matters involving broker-dealers, commodity... trading advisors and private funds are... read more
Company
Recruiter
Experience
1-3 yrs required
Location
New York City, NY
Posted Date
Sep 08, 17
Info Source
Recruiter
experience with investment advisory regulatory matters, counseling top-tier securities... investment management firms on regulatory matters under the federal... securities, with particular focus on... transactional matters. Experience with regulatory matters involving broker-dealers, commodity... trading advisors and private funds is helpful, although... read more
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