Counsel - Broker-Dealer Regulatory

The Senior Counsel will provide advice related to broker-dealer activities with a focus on municipal securities regulation. The candidate will be a subject matter expert on broker-dealer and securities laws related to municipal securities (Securities Act of 1933, Securities Exchange Act of 1934, MSRB rules, and related rules and regulations, including FINRA rules). Additional responsibilities supporting sales and trading.

Client Details

Investment bank.

Description

• Provide transactional and regulatory support to the municipal securities business, both origination and secondary trading.
• Provide regulatory advice on a wide range of issues including trade reporting, consolidated audit trail, data and information management and retention, automated trading, advertising and marketing.
• Draft and negotiate trading and related agreements in connection with trading platforms, electronic trading, market data and software licensing.
• Work closely with Business Management and Compliance to implement and develop internal procedures and controls.
• Work with Litigation and Regulatory Investigations to respond to regulatory inquiries and document requests.
• Follow legislative and regulatory developments including through membership in industry associations.

Profile

• JD from top US Law School
• Admitted to NY State Bar
• 6-8 years of experience handling broker-dealer regulatory and municipal securities regulatory matters
• Expertise in broker-dealer and securities laws related to municipal securities (Securities Act of 1933, Securities Exchange Act of 1934, MSRB rules, and related rules and regulations, including FINRA rules)
• Relevant experience in dealing with a broad range of regulatory issues in the banking industry, preferably foreign banking organizations
• Experience with FINRA requirements, especially in the context of equity capital markets, debt capital markets and structured products
• Experience in counseling/advising business teams

Job Offer

• Competitive base salary
• Bonus
• Additional benefits
• Medical, dental, vision insurance
• Hybrid schedule
• 401(k)
• Paid parental leave
• Commuter benefits
  

Desired Skills and Experience

JD, NY State Bar Admission,6 years of experience with transactional and regulatory broker-dealer legal matters, ideally gained at top law firm and in-house at BD, strong understanding of SEC and FINRA regulations, including MSRBs

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.