Temporary Broker Dealer Attorney for Top International Financial Services Company

Our client, a top international financial services company, is seeking an NY barred Broker Dealer attorney for a 2-3 month (approx) duration.Equities and fixed income trading,Related SEC and FINRA regulatory requirements,Muni advisor issuesCFTC Introducing Broker requirements.

Our client, a top international financial services company, is seeking an NY barred Broker Dealer attorney for a 2-3 month (approx) duration.Equities and fixed income trading,Related SEC and FINRA regulatory requirements,Muni advisor issuesCFTC Introducing Broker requirements.

Our client, a top international financial services company, is seeking an NY barred Broker Dealer attorney for a 2-3 month (approx) duration.Equities and fixed income trading,Related SEC and FINRA regulatory requirements,Muni advisor issuesCFTC Introducing Broker requirements.

Our client, a Global Investment Bank, is seeking an Attorney: The role will entail:Working closely with other attorneys in developing project-supporting research and documentation,Reviewing work product by others (e.g. certain compliance policies) for completeness and accuracy,Participating in project governance,Researching and writig legal memoranda,...

Our client, a Global Investment Bank, is seeking an Attorney: The role will entail:Working closely with other attorneys in developing project-supporting research and documentation,Reviewing work product by others (e.g. certain compliance policies) for completeness and accuracy,Participating in project governance,Researching and writig legal memoranda,...

Job DescriptionYou will have strong analytical, process management and communication skills with a proven ability to work with cross-functional teams.As the Chief Compliance Officer, you will be responsible for managing interactions with regulatory agencies to ensure compliance with applicable laws and regulations.You will be responsible for preparing...

Top-Tier Investment Management Company in Midtown, Manhattan is seeking a Director of Broker-Dealer Compliance!Responsibilities:Develop, maintain and implement compliance program for broker-dealer which serves as the distributor of registered funds and private/non-listed investment productsProvide technical guidance and expertise, promote examination...

Position Title: Business Analyst (Wealth Management)Location: Midtown/Manhattan, NY (Hybrid)Duration: 6 Months contract to hireJob Description:Individuals must have Minimum of 5 years’ experience at a US Broker Dealer as a business analyst. Working in Equities, ETO’s, Mutual Funds and Fixed Income Markets. Some experience in Margin Lending and Security...

Top-Tier Investment Management Company in Midtown, Manhattan is seeking a Director of Broker-Dealer Compliance!Responsibilities:Develop, maintain and implement compliance program for broker-dealer which serves as the distributor of registered funds and private/non-listed investment productsProvide technical guidance and expertise, promote examination...

Top-Tier Investment Management Company in Midtown, Manhattan is seeking a Director of Broker-Dealer Compliance!Responsibilities:Develop, maintain and implement compliance program for broker-dealer which serves as the distributor of registered funds and private/non-listed investment productsProvide technical guidance and expertise, promote examination...

Institutional Broker-Dealer Associate General Counsel DLR Associates Recruiting seeks an experienced Associate General Counsel to advise and support sales and trading teams for Fixed Income and Equities. Key responsibilities include leading trading documentation and agreement negotiations, as well as advising on international and domestic laws/regs (SEC,...

Top-Tier Investment Management Company in Midtown, Manhattan is seeking a Director of Broker-Dealer Compliance!Responsibilities:Develop, maintain and implement compliance program for broker-dealer which serves as the distributor of registered funds and private/non-listed investment productsProvide technical guidance and expertise, promote examination...

Our client a multi-strategy fund is seeking a Broker Dealer Relations Coordinator to join their team. Position Overview:We are seeking a highly organized and detail-oriented Broker Relations Coordinator to support our portfolio managers and oversee the tracking of all Corporate Access activities for the firm. The ideal candidate will have 2-3 years of...

We are seeking a senior attorney to handle legal matters related to compliance with U.S. securities laws and regulations, particularly those overseen by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). The role may involve ensuring that the firm adheres to SEC regulations, participating in regulatory...

Our client a multi-strategy fund is seeking a Broker Dealer Relations Coordinator to join their team. Position Overview:We are seeking a highly organized and detail-oriented Broker Relations Coordinator to support our portfolio managers and oversee the tracking of all Corporate Access activities for the firm. The ideal candidate will have 2-3 years of...

About the Role:We are seeking a highly skilled Regulatory Attorney to join our In-House legal team at Page Executive.Key Responsibilities:Navigate complex regulatory frameworks and apply to the company's marketplace of financial products, compliance solutions, and portfolio construction capabilities.Guide the business on 1940 Act experience, Securities Act...

Location: You must reside in either the NYC (Five Boroughs) or NJ area; however, this is a fully REMOTE role HQ is in Pasadena, CA Regional Director, Sales & Dealer Development We are currently seeking a Regional Director to direct the development of Fox Dealer Interactive strategies and product/service offerings within a regional geography. This position...

Location: You must reside in either the NYC (Five Boroughs) or NJ area; however, this is a fully REMOTE role HQ is in Pasadena, CA Regional Director, Sales & Dealer Development We are currently seeking a Regional Director to direct the development of Fox Dealer Interactive strategies and product/service offerings within a regional geography. This position...

CONTRACTOR - Regulatory Attorney • The person will join more senior attorneys in the Legal Department providing regulatory advice on a high profile 2 year regulatory implementation project on U.S. Treasury Clearing, working side-by-side with colleagues in Compliance, Operations, Front Office and other functions of a bank/broker-dealer.• The regulatory...

This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an industry leading team. The ideal candidate will have: 3-10 years Broker Dealer and Advisory compliance experience. Strong knowledge of SEC, FINRA, and other regulations. SEC Investment Advisors Act of 1940 experience Develop and maintain...