This job ad has been posted over 40 days ago...
Regulatory Attorney – Compliance Department
at The Compliance Search Group in New York, NY
A leading financial services provider seeks a Regulatory Counsel to assist with legal and regulatory matters for an array of financial products and services in the equity and fixed income capital markets.
Responsibilities:
The Regulatory Counsel will provide advice on U.S. federal and state securities and business laws. He or she will provide regulatory monitoring and advice regarding new product development, regulatory and examination compliance, and other bank and securities regulatory measures.
The individual in this role will also analyze and respond to regulatory inquiries; and review offering materials, engagement letters, confidentiality agreements, and similar documents on behalf of securities affiliates.
The Regulatory Counsel will also provide advice regarding the legal structure for hedge fund and capital market transactions, and will draft, review, and negotiate documents for such transactions.
Requirements:
The successful candidate will have previous regulatory or finance in - house experience, preferably with a large to mid-size financial firm. Ideally this role will be occupied by someone who has practiced law within the securities field for institutional, and not retail, brokerages. The attorney seeking to be Regulatory Counsel should have a strong background in litigation and experience handling a 200-300 case load.
Please send all resumes or inquiries to Jack Kelly at jkelly@compliancesearch.com
Responsibilities:
The Regulatory Counsel will provide advice on U.S. federal and state securities and business laws. He or she will provide regulatory monitoring and advice regarding new product development, regulatory and examination compliance, and other bank and securities regulatory measures.
The individual in this role will also analyze and respond to regulatory inquiries; and review offering materials, engagement letters, confidentiality agreements, and similar documents on behalf of securities affiliates.
The Regulatory Counsel will also provide advice regarding the legal structure for hedge fund and capital market transactions, and will draft, review, and negotiate documents for such transactions.
Requirements:
The successful candidate will have previous regulatory or finance in - house experience, preferably with a large to mid-size financial firm. Ideally this role will be occupied by someone who has practiced law within the securities field for institutional, and not retail, brokerages. The attorney seeking to be Regulatory Counsel should have a strong background in litigation and experience handling a 200-300 case load.
Please send all resumes or inquiries to Jack Kelly at jkelly@compliancesearch.com
Published at 13-04-2010
Viewed: 111 times
Viewed: 111 times