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Job ID Number: 1257884971
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Attorney |
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| Job Title: |
Regulatory Compliance Attorney |
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| State/Location: |
New York, NY |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
Institutional brokerage seeks an Attorney for their Compliance Department.
The firm’s Legal and Compliance divisions work closely together.
The role includes a combination of transactional, compliance, legal, regulatory and litigation matters.
Candidates should have 4-6 years of Regulatory/Finance in-house experience
He/she will provide counsel and advice on U.S. federal and state securities and business laws.
Draft, review, and negotiate documents for and advise regarding legal structure for hedge fund and capital markets transactions.
Manage litigation matters.
Provide regulatory monitoring and advice and counsel regarding new product development, regulatory and examination compliance, and other bank and securities regulatory matters.
Analyze, address and respond to regulatory inquiries.
Review offering materials, engagement letters, confidentiality agreements, and similar documents on behalf of securities affiliate.
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
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