What are the responsibilities and job description for the GLOBAL PRIVATE MARKET SEEKS BROKER-DEALER COUNSEL position at Greene-Levin-Snyder Legal Search Group?
A publicly traded global private market seeks a Senior Counsel, Capital Markets to join their Legal Department. This role will serve as coverage for the company’s regulated businesses, with primary focus on the broker-dealer and registered investment adviser. The role will also support the custody and lending businesses.
Candidates MUST have 3-7 years of significant experience with broker-dealer sales and trading, and primary placement of securities; understanding of securities law and regulations under the Securities Act of 1933, the Securities Exchange Act of 1934, and FINRA rules and regulations, including operational, custodial, settlement, and other matters related to transactions in restricted securities. Some experience and understanding of RIA regulation, management of private funds, and custody of cash and securities is a plus. Experience could be gained from a combination of law firm and in house experience.
Responsibilities include:
- Advising on day-to-day activities broker-dealer, including secondary trading, primary placement, and various transaction related questions, including cross border transactions and issues.
- Working closely with the RIA business and advising on issues related to structuring, placement and management of private funds.
- Working with and providing legal advice on issues related to the custody and lending business, including support related to handling of client complaints, questions, and potential disputes related to custodial accounts.
- Partnering with the business, product and engineering teams on developing or integrating various products and services across the various regulated businesses, including provide advice on specific legal and regulatory issues.
This is a phenomenal opportunity to work at a sophisticated, cutting edge, innovative, global private market as part of a small legal team reporting to a fantastic and supportive Head of Legal. The expected annual compensation for this position is $155,000-$250,000 depending on experience, expertise, and other factors and will consist of a base and annual bonus, as well as full suite of benefits. Hours are reasonable and consistent. This role requires you to be in their new, beautiful, loft-like NYC (SoHo) office 2-3 days a week.
Salary : $155,000 - $250,000
