Investment Management – Financial Institutions Associate (Broker-Dealer Regulatory)

A leading global law firm is seeking a junior to midlevel associate to join its Investment Management – Financial Institutions practice, focusing on the regulation of broker-dealers and other securities markets participants. The role offers the opportunity to advise retail broker-dealers and institutional, private wealth, and private client firms on the full range of regulatory and compliance issues.

The position involves federal and state securities law compliance, including the Exchange Act, Securities Act, Advisers Act, and Investment Company Act, along with the rules and regulations of the SEC, FINRA, and other self-regulatory organizations. Associates will engage proactively across financial institutions regulatory work, including regulatory compliance, product design, examinations, and enforcement.

This is a multi-office opening with flexibility across several U.S. locations, providing the chance to work collaboratively with a broad range of market participants and regulatory regimes.

• One to four years of large law firm experience or equivalent in-house or regulatory organization experience.
• Experience with broker-dealer regulation, including retail broker-dealers and institutional, private wealth, and private client firms.
• Knowledge of federal and state securities laws and SEC, FINRA, and other self-regulatory organization rules.
• Familiarity with registration requirements, sales practice issues, marketing and communications, trading and market structure, supervisory and compliance structures, and recordkeeping.
• Experience advising on M&A and change-of-control transactions, employee compensation and disciplinary matters, SEC and FINRA examinations, and enforcement defense.
• Strong writing, communication, and analytical skills with excellent academic credentials.
• Active membership in the District of Columbia and/or New York bar.