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Attorney, In-House Counsel
The candidate will provide legal support and counsel to a fast-paced Broker-Dealer and related Global Trading business on SEC and FINRA regulatory matters and a wide variety of contract negotiations. Provide legal advice and support in connection with the negotiation, drafting, interpretation, and renewal of clearing, execution, portal, referral, soft dollar and other agreements. Provide legal advice and support to the compliance staff of the com...
Senior Counsel-Corporate Legal
The candidate will assist with securities issues, including financing transactions, corporate governance matters and general corporate law issues. Will ensure that the Company complies with relevant laws and rules and also monitors trends in the Company’s business performance, regulatory requirements and governance and disclosure practices among peer companies and counsels clients accordingly. Advise on corporate financing issues, including...