Broker-Dealer Regulatory & Enforcement Associate

Overview The role involves advising broker-dealers, investment banks, and other market participants on a broad range of securities regulatory issues. Specific work includes advising on regulatory obligations under the Securities Exchange Act of 1934, FINRA rules, and related state and federal securities laws. Key responsibilities encompass assisting clients with broker-dealer registration, licensing, and ongoing compliance; supporting internal investigations, regulatory examinations, and enforcement matters involving the SEC, FINRA, and state securities regulators; drafting and reviewing compliance policies and procedures (WSPs); analyzing regulatory implications for new products and business lines; structuring broker-dealer transactions (e.g., M&A, restructurings); monitoring regulatory developments; and preparing regulatory filings and client memoranda. The position offers significant client contact and the opportunity to work on sophisticated, high-profile matters for leading financial institutions. Candidates must have a substantive focus on broker-dealer regulation and preferably experience with regulatory examinations, inquiries, or enforcement matters. #J-18808-Ljbffr