Associate - Financial Institutions Broker-Dealer Regulatory amp Enforcement

Job OverviewA law firm seeks an Associate for its Financial Institutions Group in New York. The candidate will have at least three years of experience advising broker-dealers and financial services clients on regulatory matters. This role involves significant client interaction and the opportunity to work on high-profile matters for leading financial institutions. Duties Advise broker-dealers and financial institutions on regulatory obligations under relevant securities laws. Assist with broker-dealer registration, licensing, and compliance matters. Support internal investigations and regulatory examinations. Draft and review compliance policies and supervisory procedures. Analyze new products and services for regulatory implications. Assist in structuring broker-dealer transactions. Monitor and advise on regulatory developments. Prepare client memoranda and regulatory filings. Collaborate with partners and cross-practice teams. Requirements Minimum of three years of relevant experience in broker-dealer regulation. Strong knowledge of the Securities Exchange Act of 1934 and FINRA rules. Experience with regulatory examinations and enforcement matters preferred. Excellent academic credentials. Superior analytical, drafting, and communication skills. Ability to manage multiple matters independently. Strong client service orientation and sound business judgment. Education J.D. from an accredited law school. Certifications Must be barred in the state of New York. Skills Strong analytical and problem-solving skills. Excellent communication and interpersonal skills. Ability to work collaboratively in a team environment. Benefits Competitive compensation packages. Professional development programs. Wellness initiatives supporting physical, emotional, mental, and financial health. #J-18808-Ljbffr BCG Attorney Search