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Director, Legal Counsel - Municipal Securities

New York Permanent $225,000 - $265,000 per year View Job Description
The Director, Legal Counsel - Municipal Securities will provide legal advice to internal stakeholders pertaining to the municipal securities business, including serving as a SME on municipal securities regulatory matters.
  • Exciting opportunity to join investment bank's growing legal team
  • Role will focus on municipal securities advisory and regulatory matters

About Our Client

Global investment bank with growing legal team.

Job Description

  • Provide transactional and regulatory advice to the municipal securities business, both origination and secondary trading
  • Serve as point person for 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)
  • Provide regulatory advice on a wide range of issues including market access, trade reporting, consolidated audit trail, data and information management and retention, automated electronic trading, advertising and marketing
  • Draft and negotiate trading and related contracts pertaining to trading platforms, electronic trading, market data and , software licensing and direct market access
  • Work closely with Trading Business Management and Compliance to implement and develop internal procedures and controls
  • Work with litigation and regulatory investigations teams to address regulatory inquiries and document requests in a timely manner

The Successful Applicant

  • JD from an accredited law school
  • Admission to the New York State Bar
  • 6+ years of experience handling a wide range of legal and regulatory matters pertaining to municipal securities, ideally gained in-house at an investment bank
  • Expertise in municipal securities and broker-dealer regulations, including: Securities Act of 1933, Securities Exchange Act of 1934, MSRB rules, and related rules and regulations, including FINRA rules
  • Excellent research and writing skills
  • Experience advising internal stakeholders on a wide range of financial products

What's on Offer

  • Competitive base salary
  • Cash bonus
  • Equity
  • Growth opportunities
Contact
Jennifer Pettigrew
Quote job ref
JN-012025-6652023

Job summary

Function
Legal
Subsector
Legal Subsector
Industry
Financial Services
Location
New York
Contract type
Permanent
Consultant name
Jennifer Pettigrew
Job reference
JN-012025-6652023
jennifer-pettigrew-profile-picture
Page Executive
Jennifer Pettigrew LinkedIn
Senior Partner

Jennifer is a Senior Partner and Global Practice Leader for Page Executive’s Legal Practice, where she heads the U.S. In-House Attorney Recruitment Division. Based in New York, USA, she specializes in placing top legal talent in key roles such as ...

Read more about Jennifer Pettigrew

About Page Executive

Page Executive are inclusive Recruiters and Hirers, as reflected in our Clear Assured Platinum Standard Accreditation from the Clear Company. We are passionate about attracting diverse talent and are committed to ensuring our processes are inclusive and supportive.