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Attorney – Markets Regulatory/Equities

New York, New York;

Job Description:

Regarding Global Markets and International for the Equities line of business, primarily in the US, this position is
responsible for the analysis of complex legal issues and implications on matters of significant impact to Global
Markets’ broker-dealer activities. This includes regulatory and enforcement matters, as well as reporting and
financial responsibility requirements relating to broker-dealer registration. Coordinates the work of outside legal
counsel on related projects, as well as internal business clients and support partners, including but limited to the
following:
(1) responding to regulatory inquiries, investigations, and enforcement matters involving Federal regulators and
SROs; (2) the sales and trading and support functions for the institutional equities and options desks; and (3)
broker-dealer registration, reporting and financial responsibility (e.g., capital, customer protection rules),
subordinated loan filings, SEC risk assessment requirements, margin rules, custody arrangements both domestic
and foreign, SRO memberships, and books and records requirements.

Required Skills
· Attorney must be licensed to practice in the appropriate jurisdiction(s).
· Should have minimum 6 years experience in a broker-dealer or related financial services practice,
preferably with experience and a solid working knowledge of equities products and market structure (either
internally or as external counsel, or with a regulator).
· Excellent interpersonal skills - needs to be able to communicate effectively with senior management,
business associates involved in sales and trading, and support colleagues.
· Experience communicating directly with regulators.
Desired Skills:
· Candidate should be a self-starter and quick learner, and must be able to work independently and
proactively.
· Candidate should be someone who can handle multiple complex assignments and navigate a large
institution.
· Candidate must possess superior communication skills and must be able to work collaboratively with others
in the Legal Department, the business, outside counsel, and across the company.

Job Band:

H4

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

Regarding Global Markets and International for the Equities line of business, primarily in the US, this position is
responsible for the analysis of complex legal issues and implications on matters of significant impact to Global
Markets’ broker-dealer activities. This includes regulatory and enforcement matters, as well as reporting and
financial responsibility requirements relating to broker-dealer registration. Coordinates the work of outside legal
counsel on related projects, as well as internal business clients and support partners, including but limited to the
following:
(1) responding to regulatory inquiries, investigations, and enforcement matters involving Federal regulators and
SROs; (2) the sales and trading and support functions for the institutional equities and options desks; and (3)
broker-dealer registration, reporting and financial responsibility (e.g., capital, customer protection rules),
subordinated loan filings, SEC risk assessment requirements, margin rules, custody arrangements both domestic
and foreign, SRO memberships, and books and records requirements.

Required Skills
· Attorney must be licensed to practice in the appropriate jurisdiction(s).
· Should have minimum 6 years experience in a broker-dealer or related financial services practice,
preferably with experience and a solid working knowledge of equities products and market structure (either
internally or as external counsel, or with a regulator).
· Excellent interpersonal skills - needs to be able to communicate effectively with senior management,
business associates involved in sales and trading, and support colleagues.
· Experience communicating directly with regulators.
Desired Skills:
· Candidate should be a self-starter and quick learner, and must be able to work independently and
proactively.
· Candidate should be someone who can handle multiple complex assignments and navigate a large
institution.
· Candidate must possess superior communication skills and must be able to work collaboratively with others
in the Legal Department, the business, outside counsel, and across the company.

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21080066

Band: H4

Manages People: No

Travel: No

Manager:

Talent Acquisition Contact:

Jeri Risin

Referral Bonus:

0