Mid-Senior Financial Services, Regulatory Associate Attorney

A law firm seeks a Mid-Senior Financial Services Regulatory Associate Attorney with specific qualifications and skills. Here's a comprehensive job description:

Job Overview:

The firm is seeking a talented attorney with 5-7 years of experience in broker-dealer regulatory matters. The ideal candidate will possess a Juris Doctor (JD) degree from an accredited law school, be admitted to the NY Bar, and have a proven track record of handling various aspects of broker-dealer regulatory compliance. This role requires strong analytical, research, and writing skills, as well as the ability to work effectively under pressure and manage time efficiently.

Duties:

• Provide legal counsel and support on all aspects of broker-dealer regulatory compliance.
• Conduct research and analysis on regulatory issues affecting financial services clients.
• Draft and review legal documents, including contracts, agreements, and regulatory filings.
• Advise clients on compliance with federal and state securities laws and regulations.
• Assist with regulatory examinations, investigations, and enforcement actions.

Requirements:

• 5-7 years of experience focused on broker-dealer regulatory matters.
• Meaningful experience from a major law firm is preferred.
• Juris Doctor (JD) degree (LLM or foreign equivalent) from an accredited law school.
• Admitted and in good standing to the NY Bar.
• Strong analytical, research, and writing skills.
• Ability to work well under pressure and manage time effectively.

Education and Certifications:

• Juris Doctor (JD) degree from an accredited law school.
• Admission to the New York State Bar.

Skills:

• Proficiency in legal research and analysis.
• Excellent written and verbal communication skills.
• Attention to detail and accuracy.
• Ability to work independently and collaboratively in a team environment.
• Knowledge of federal and state securities laws and regulations.

Job Location:

New York City, NY

Benefits offered:

• Discretionary bonus
• Paid leave
• Life, health, accident, and disability insurance
• 401(k) plan

A sizable group of well-established attorneys comprise the New York law office. They represent major U.S. and global corporations as well as financial institutions. Areas of specialization include international finance and business law matters. Attorneys have had close ties with the New York legal market for numerous years. They are involved in seminars, conferences, and other industry events during the year.