A leading global law firm is seeking an associate with at least three years of experience to join its Financial Institutions Group in New York. The role focuses on advising broker-dealers and other financial services clients on a broad range of securities regulatory matters.

The successful candidate will work closely with partners and senior associates on sophisticated, high-profile matters for leading financial institutions, with significant client contact. The practice advises broker-dealers, investment banks, and other market participants on regulatory obligations, examinations, investigations, and enforcement matters.

This position offers the opportunity to handle complex, multi-disciplinary work across a collaborative platform that supports professional growth and work-life balance, alongside competitive compensation and comprehensive benefits.

Minimum of three years of relevant experience at a law firm, regulatory agency, or in-house at a financial institution, with a substantive focus on broker-dealer regulation
Strong working knowledge of the Securities Exchange Act of 1934, FINRA rules, and SEC regulations applicable to broker-dealers
Experience with regulatory examinations, inquiries, or enforcement matters preferred
Excellent academic credentials
Barred in the state of New York

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