Financial Institutions & Regulatory Associate – New York

Annual salary: $365,000 – $420,000

This is a great New York opportunity for a senior-level NY-licensed associate attorney to join a market-leading Financial Institutions team who offer a comprehensive and multi-jurisdictional service attuned to the needs of their clients and the international financial regulatory landscape.

You will represent many of the world’s leading broker-dealers and investment firms as well as other market participants, including trading platforms, settlement systems and clearing houses.

You will advise on the full range of securities regulatory issues, while continually monitor pending regulatory and legislative proposals, including advising on licensing, capital requirements, trading issues, sales practices, research, inducements, client classification, handling regulatory examinations, anti-money laundering and regulatory investigations, examinations and enforcement matters.

Our client has an unparalleled experience in the formation and registration of broker-dealers and investment firms across the U.S. and Europe. They are a go-to team for advice on the structure and timing of expansions and reorganizations, cross-border service provision and third-country access, including obtaining regulatory approvals.

You will grow your practice working with all forms of broker-dealers and broker-dealer and investment banking businesses: retail, institutional trading (equity and fixed-income), prime brokerage, research distribution, investment banking advisory, capital markets, private placement advisory, ATSs, MTFs, OTFs, market makers and interdealer brokers.

For a confidential chat about this or other roles we are handling, please contact Will Sciarretta in the Jameson Legal US Team.

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