Save Job Back to Search Job Description Summary Similar JobsExciting opportunity to join global bank as Counsel supporting broker-dealerHybrid role with excellent working environment and benefitsAbout Our ClientInvestment bank.Job DescriptionProvide transactional and regulatory support to the municipal securities business, both origination and secondary trading.Provide regulatory advice on a wide range of issues including trade reporting, consolidated audit trail, data and information management and retention, automated trading, advertising and marketing.Draft and negotiate trading and related agreements in connection with trading platforms, electronic trading, market data and software licensing.Work closely with Business Management and Compliance to implement and develop internal procedures and controls.Work with Litigation and Regulatory Investigations to respond to regulatory inquiries and document requests.Follow legislative and regulatory developments including through membership in industry associations.The Successful ApplicantJD from top US Law SchoolAdmitted to NY State Bar6-8+ years of experience handling broker-dealer regulatory and municipal securities regulatory mattersExpertise in broker-dealer and securities laws related to municipal securities (Securities Act of 1933, Securities Exchange Act of 1934, MSRB rules, and related rules and regulations, including FINRA rules)Relevant experience in dealing with a broad range of regulatory issues in the banking industry, preferably foreign banking organizationsExperience with FINRA requirements, especially in the context of equity capital markets, debt capital markets and structured productsExperience in counseling/advising business teamsWhat's on OfferCompetitive base salaryBonusAdditional benefitsMedical, dental, vision insuranceHybrid schedule401(k)Paid parental leaveCommuter benefitsContactJennifer PettigrewQuote job refJN-022025-6657567Job summaryFunctionLegalSubsectorLegal SubsectorIndustryFinancial ServicesLocationNew YorkContract typePermanentConsultant nameJennifer PettigrewJob referenceJN-022025-6657567
