Associate - Financial Institutions Broker-Dealer Regulatory amp Enforcement

Profile

Job Overview

A law firm seeks an Associate for its Financial Institutions Group in New York. The candidate will have at least three years of experience advising broker-dealers and financial services clients on regulatory matters. This role involves significant client interaction and the opportunity to work on high-profile matters for leading financial institutions.

Duties

• Advise broker-dealers and financial institutions on regulatory obligations under relevant securities laws.
• Assist with broker-dealer registration, licensing, and compliance matters.
• Support internal investigations and regulatory examinations.
• Draft and review compliance policies and supervisory procedures.
• Analyze new products and services for regulatory implications.
• Assist in structuring broker-dealer transactions.
• Monitor and advise on regulatory developments.
• Prepare client memoranda and regulatory filings.
• Collaborate with partners and cross-practice teams.

Requirements

• Minimum of three years of relevant experience in broker-dealer regulation.
• Strong knowledge of the Securities Exchange Act of 1934 and FINRA rules.
• Experience with regulatory examinations and enforcement matters preferred.
• Excellent academic credentials.
• Superior analytical, drafting, and communication skills.
• Ability to manage multiple matters independently.
• Strong client service orientation and sound business judgment.

Education

• J.D. from an accredited law school.

Certifications

• Must be barred in the state of New York.

Skills

• Strong analytical and problem-solving skills.
• Excellent communication and interpersonal skills.
• Ability to work collaboratively in a team environment.

Benefits

• Competitive compensation packages.
• Professional development programs.
• Wellness initiatives supporting physical, emotional, mental, and financial health.

Company info

BCG Attorney Search
125 Park Avenue, 25th floor
New York
New York
United States 10017
Phone : (212) 232-0277
Fax : (213) 895-7306