Corporate - Securities and Capital Markets Attorney / Finance - Financial Services Regulation Attorney in New York City, NY

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In-House

New York City, NY

Corporate - Securities and Capital Markets Attorney / Finance - Financial Services Regulation Attorney in New York City, NY

Attorney

Min 1 yrs required

No

Job Title: Legal Associate

Job Responsibilities:
- Review and analyze legal documents, contracts, and agreements related to broker dealer activities, including investment banking transaction documents, client agreements, trading agreements, and other business contracts.
- Assist in the development, implementation, and maintenance of compliance policies and procedures to ensure adherence to regulatory requirements.
- Conduct legal research on relevant laws, regulations, and industry guidelines affecting broker dealer operations.
- Assist in the preparation of regulatory filings, disclosures, and reports required by regulatory authorities.
- Collaborate with internal stakeholders, including compliance, operations, and risk management teams, to address legal and regulatory issues.
- Provide legal support and advice on a wide range of broker dealer matters, including trading activities, securities offerings, and corporate governance.
- Stay informed about developments in broker dealer regulation and industry best practices to ensure ongoing compliance and risk management.

Education and Experience Information:
- Must be bilingual in Chinese and English, with proficiency in listening, speaking, reading, and writing.
- Juris Doctor ( degree or foreign equivalent from an accredited law school.
- Admission to the bar in the state of New York.
- 1+ years of experience in securities law, or financial services regulation, preferably at a law firm or financial institution.
- Strong understanding of securities laws and regulations, including the Securities Exchange Act of 1934, the Securities Act of 1933, and FINRA rules.
- Excellent research, writing, and analytical skills.
- Ability to work independently and collaboratively in a fast-paced environment.
- Detail-oriented with strong organizational skills and the ability to manage multiple projects simultaneously.
- Excellent interpersonal and communication skills, with the ability to interact effectively with internal and external stakeholders.

Salary Information:
- Pay: $90, - $100, per year

Benefits:
- 401(k)
- Dental insurance
- Health insurance
- Paid holidays
- Paid time off
- Vision insurance

Schedule:
- Monday to Friday
- Work Location: In person

Additional Information:
- This is a hybrid position requiring applicants to work in person at the office four days a week.
- The company is open to providing visa sponsorship.
- The company is an equal opportunity employer, celebrating diversity and committed to creating an inclusive environment for all employees.

Jun 11, 2025
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