A global law firm seeks an Associate to join its Financial Institutions Group in New York. This role focuses on advising broker-dealers, investment banks, and other financial services clients on regulatory and compliance matters.

Key responsibilities include:

Advising on obligations under the Securities Exchange Act of 1934, FINRA rules, and related federal and state securities laws
Assisting with broker-dealer registration, licensing, and ongoing compliance
Supporting internal investigations, regulatory examinations, and enforcement matters
Drafting and reviewing compliance policies and written supervisory procedures (WSPs)
Analyzing new products and services for regulatory implications
Structuring broker-dealer transactions and M&A involving regulated entities
Monitoring regulatory developments and preparing client communications

The ideal candidate will have at least three years of relevant experience, strong academic credentials, and excellent analytical and drafting skills. The role offers significant client contact and opportunities to work on sophisticated matters for leading financial institutions.

Minimum of three years of relevant experience at a law firm, regulatory agency, or in-house financial institution, with a substantive focus on broker-dealer regulation
Strong 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
Superior analytical, drafting, and communication skills
Ability to manage multiple matters independently and collaboratively
Strong client service orientation and sound business judgment
J.D. from an accredited law school
Bar admission in New York

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