• Interpret Relevant Laws, Rules, and Regulations
• Advisory
• Legal Drafting and Writing
• Critical Thinking
• Policies, Procedures, and Guidelines
• Problem Solving
• Regulatory Compliance
• Issue Management
• Decision Making
• Influence
• Legal Structures and Legal Forms
• Attention to Detail
• Stakeholder Management
• Collaboration
Required Qualifications:
- JD
- Admission to NY Bar, or ability to obtain admission
- 4+ years experience at a law firm and/or in house at a financial company
- Experience with broker dealer regulations, Prime Finance, ISDA-based OTC equity derivatives, Securities lending and related legal and regulatory issues
- Experience and knowledge of securities and OTC derivatives laws/rules (including 1933 Act, 1934 Act, Investment Company Act, Investment Advisers Act and Dodd-Frank), FINRA rules,
Desired Qualifications:
- Familiarity with the US bank regulatory structure (Bank Holding Company Act, National Bank Act and the respective regulators)
- Ability to communicate clearly and concisely
- Experience negotiating agreements relating to the equity finance businesses
1st shift (United States of America)