New York, United States
3 months ago
Our client, a top tier investment management firm, is currently looking to expand their Legal team with a Counsel position, specifically responsible for regulatory change matters.
This would be a broad role, where you will be expected to have strong Securities and/or Commodities Regulatory knowledge. Within this role, you will advise on regulatory matters ranging across SEC, CFTC and/or FINRA regulations, supporting inquiries & examinations, as well as overall implementation of regulatory measures required across their trading/markets business lines.
- JD & Member of the bar of any U.S. state
- At least 5+ years’ experience from law firm and/or in-house.
- Extensive background in being point of contact to the business for advisory matters
- Exceptional 1940's Act knowledge