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Broker Dealer Jobs in Brooklyn

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United States
Posted On Sep 08, 26
Full-time 9 views Experience : Min 10 yrs required
Practice Area:
Finance - Financial Services Regulation Fintech & Blockchain Finance - General
Job Tags:
civil litigation due diligence enforcement proceedings Financial Institutions FINRA health benefits hedge funds M&A NASDAQ private equity regulatory compliance securities laws stock options Venture Capital wealth management
Practice Area:
Finance - Financial Services Regulation Fintech & Blockchain Finance - General
Job Tags:
civil litigation due diligence enforcement proceedings Financial Institutions FINRA health benefits hedge funds M&A NASDAQ private equity regulatory compliance securities laws stock options Venture Capital wealth management

Associate General Counsel – Broker-Dealer Regulatory Compliance Job Responsibilities: The... primarily focusing on the broker-dealer and custodial platform business,... while also supporting the investment advisory business. The role involves serving as a strategic partner to senior leadership, shaping legal and r...

Posted On Sep 07, 26
Full-time 1 views Experience : Min 3 yrs required
Practice Area:
Administrative Law Government - General
Job Tags:
acquisitions Financial Institutions FINRA licensing mergers Securities Securities Exchange Act of 1934 securities laws stage
Practice Area:
Administrative Law Government - General
Job Tags:
acquisitions Financial Institutions FINRA licensing mergers Securities Securities Exchange Act of 1934 securities laws stage

Associate - Financial Institutions (Broker-Dealer, Regulatory & Enforcement) Job Responsibilities: The... advice and support to broker-dealers, investment banks, and other... financial institutions. The key responsibilities include: - Advising clients on regulatory obligations under the Securities Exchange Act of 1934, FINRA rules, and related...

Posted On Sep 21, 26
Full-time Experience : Min 8 yrs required
Job Tags:
Code of Conduct contracts Energy equity finance FINRA hedge funds
Job Tags:
Code of Conduct contracts Energy equity finance FINRA hedge funds

Job Title: Broker-Dealer Compliance Advisor (Equities and... Options) Job Responsibilities: - Support the Head of . Broker-Dealer Compliance. - Provide compliance... advisory support to front office teams across day-to-day business activities. - draft, and enhance . Broker-Dealer Policies and Procedures and......

Posted On Sep 24, 26
Full-time 4 views Experience : Min 4 yrs required
Job Tags:
acquisitions ADA brokers FMLA Insurance M&A mergers NASDAQ pension Visa
Job Tags:
acquisitions ADA brokers FMLA Insurance M&A mergers NASDAQ pension Visa

Job Title: Senior R&W Broker Job Responsibilities: - Collaborate with the... Transactional Solutions Client Advocate or Production Team within the Mergers & Acquisitions Group in designing and placing transactional insurance products for clients. - Prepare submissions and coverage specifications, present them to carriers,...

Posted On Sep 17, 26
Full-time 7 views Experience : Min 4 yrs required 1 applications
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Finance - Banking Finance - Structured Finance Corporate - General Finance - General
Job Tags:
agreements asset management Broker Dealer Capital Markets corporate governance credit agreements Ethics finance FINRA Harassment investment management Joint Ventures partnerships Privacy Securities securities laws structured finance syndicated transactions Syndication
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Finance - Banking Finance - Structured Finance Corporate - General Finance - General
Job Tags:
agreements asset management Broker Dealer Capital Markets corporate governance credit agreements Ethics finance FINRA Harassment investment management Joint Ventures partnerships Privacy Securities securities laws structured finance syndicated transactions Syndication

Title: Director, Legal, Brookfield Capital Solutions Job Responsibilities: The Director, Legal, at Company will play a crucial role in supporting the Capital Solutions Business and other business initiatives, as well as general corporate governance and regulatory matters. The Director will...

Posted On Jul 14, 26
Full-time 2 views Experience : Min 5 yrs required
Practice Area:
Corporate - Securities and Capital Markets Finance - Banking
Job Tags:
Affirmative Action AML bank lending banking Broker Dealer Capital Markets corporate governance Cybersecurity Data Protection derivatives developers employee benefits equity finance FINRA Investment Banking lending Litigation project finance Securities securities laws Visa
Practice Area:
Corporate - Securities and Capital Markets Finance - Banking
Job Tags:
Affirmative Action AML bank lending banking Broker Dealer Capital Markets corporate governance Cybersecurity Data Protection derivatives developers employee benefits equity finance FINRA Investment Banking lending Litigation project finance Securities securities laws Visa

office, as well as its SEC-registered broker dealer. - Counsel on legal... and regulatory issues, perform legal research, and review documentation for financial transactions. - Present updates to senior management and manage corporate governance, primarily in support of CIB under the sup...

Posted On Aug 28, 26
Full-time 3 views Experience : Min 5 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General Finance - Banking Finance - Project Finance Finance - Structured Finance Finance - Financial Services Regulation Finance - General
Job Tags:
Affirmative Action AML bank lending banking Broker Dealer Capital Markets corporate governance Cybersecurity Data Protection derivatives developers employee benefits Energy equity finance FINRA Investment Banking lending Litigation project finance Securities securities laws Visa
Practice Area:
Corporate - Securities and Capital Markets Corporate - General Finance - Banking Finance - Project Finance Finance - Structured Finance Finance - Financial Services Regulation Finance - General
Job Tags:
Affirmative Action AML bank lending banking Broker Dealer Capital Markets corporate governance Cybersecurity Data Protection derivatives developers employee benefits Energy equity finance FINRA Investment Banking lending Litigation project finance Securities securities laws Visa

Title: Investment Banking In-House Finance Counsel Job Responsibilities: The successful candidate for the Investment Banking In-House Finance Counsel position at the company will be responsible for providing legal counsel on various legal and regulatory issues, particularly in support of the Corporate &...

Posted On Jul 01, 26
Full-time 11 views Experience : Min 2 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Capital Markets Chapter 11 Financial Institutions Investment Banking LLC marketing restructuring Securities Securities and Capital Markets
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Capital Markets Chapter 11 Financial Institutions Investment Banking LLC marketing restructuring Securities Securities and Capital Markets

Title: Associate Legal Counsel - Capital Markets Job Responsibilities: The Associate Legal Counsel - Capital Markets at Company is responsible for a variety of legal tasks associated with the firm’s investment banking and capital markets business. The primary job functions include: -...

Posted On Jul 03, 26
Full-time 8 views Experience : Min 10 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
Capital Markets derivatives distribution agreements equity ISDA Litigation marketing Rule 144A securities laws
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
Capital Markets derivatives distribution agreements equity ISDA Litigation marketing Rule 144A securities laws

Title: Director, Head of Structured Products Legal, Americas Job Responsibilities - Ensure compliance of the Markets division's activities with applicable laws, rules, and regulations. - Develop and implement best practice legal strategies to manage compliance. - Provide legal advice and support to business units...

Posted On Jul 07, 26
Full-time 6 views Experience : Min 3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements blockchain Capital Markets CCPA contracts corporate governance data privacy Data Protection equity Equity Compensation family finance FINRA FMLA GDPR Harassment indemnity Insurance marketing Privacy privacy laws regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stock options title
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements blockchain Capital Markets CCPA contracts corporate governance data privacy Data Protection equity Equity Compensation family finance FINRA FMLA GDPR Harassment indemnity Insurance marketing Privacy privacy laws regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stock options title

General Counsel (Capital Markets, Broker-Dealer, FinTech) Job Responsibilities: - Collaborate with... technology, compliance, finance, HR, and marketing teams. - Advise on and support the operation of the company's Alternative Trading Systems (ATSs), including supporting the Broker-Dealer business in managing ATS-related... regulatory obligations, dr...

Posted On Jul 08, 26
Full-time 3 views Experience : Min 3 yrs required
Practice Area:
Corporate - Securities and Capital Markets Fintech & Blockchain
Job Tags:
agreements blockchain Capital Markets CCPA contracts corporate governance data privacy Data Protection equity Equity Compensation finance FINRA GDPR indemnity Insurance marketing Privacy privacy laws regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stock options title
Practice Area:
Corporate - Securities and Capital Markets Fintech & Blockchain
Job Tags:
agreements blockchain Capital Markets CCPA contracts corporate governance data privacy Data Protection equity Equity Compensation finance FINRA GDPR indemnity Insurance marketing Privacy privacy laws regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stock options title

General Counsel (Capital Markets, Broker-Dealer, FinTech) Job Responsibilities: The Assistant General... including product development, technology, compliance, finance, HR, and marketing teams. The role involves advising on and supporting the operation of Alternative Trading Systems (ATSs), including supporting the Broker-Dealer business in managi...

Posted On Jul 13, 26
Full-time 3 views Experience : Min 8 yrs required
Practice Area:
Finance - Structured Finance Finance - General Corporate - General Corporate - Securities and Capital Markets
Job Tags:
Affirmative Action agreements AML banking Broker Dealer corporate governance credit agreements Cybersecurity Data Protection derivatives developers employee benefits finance Insurance Investment Banking lending Letters of Credit Litigation Negotiable Instruments real estate finance regulatory compliance Securities securitization Syndication UCC Visa
Practice Area:
Finance - Structured Finance Finance - General Corporate - General Corporate - Securities and Capital Markets
Job Tags:
Affirmative Action agreements AML banking Broker Dealer corporate governance credit agreements Cybersecurity Data Protection derivatives developers employee benefits finance Insurance Investment Banking lending Letters of Credit Litigation Negotiable Instruments real estate finance regulatory compliance Securities securitization Syndication UCC Visa

(CIB), which includes the New York branch of the company and an SEC-registered broker dealer. Key responsibilities include: -... Supporting trade finance activities, such as drafting and reviewing receivables purchase and invoice discounting facilities, supply chain finance documentation, bilateral working capita...

Posted On Jul 15, 26
Contract, Part-time 3 views Experience : Min 5 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements Business Law Capital Markets contracts corporate governance Corporate Law due diligence FINRA fund formation M&A operating agreements private equity Securities
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements Business Law Capital Markets contracts corporate governance Corporate Law due diligence FINRA fund formation M&A operating agreements private equity Securities

Title: Freelance Attorney - Securities & Corporate Law Job Responsibilities: - Lead the drafting and review of private placement memoranda (PPMs), including sections on risk factors, business descriptions, use of proceeds, capitalization, and management discussion. - Structure and advise on exempt offerings under...

Posted On Jul 20, 26
Full-time 2 views Experience : Min 8 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
derivatives equity ISDA Litigation securities laws shareholders swaps
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
derivatives equity ISDA Litigation securities laws shareholders swaps

Title: Director - Corporate and Equity Derivatives Attorney Job Responsibilities: As a Director in the role of a Corporate and Equity Derivatives Attorney at the company, the primary responsibilities include: - Supporting the company's Global Markets businesses on legal and regulatory matters concerning...

Posted On Jul 20, 26
Full-time 2 views Experience : Min 4 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Capital Markets high yield Investment Banking lending Litigation Mergers and Acquisitions partnerships public offerings Securities securities laws
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Capital Markets high yield Investment Banking lending Litigation Mergers and Acquisitions partnerships public offerings Securities securities laws

Title: Vice President, Capital Markets Advisory Lawyer Job Responsibilities: - Provide legal and regulatory advisory support to the Investment Banking division across debt capital markets transactions, including investment grade and high yield securities issuances, and fixed income syndicate activities. - Advise on securities...

Posted On Jul 27, 26
Full-time 2 views Experience : 5-8 yrs required
Practice Area:
Corporate - Technology Transactions Corporate - Securities and Capital Markets Corporate - Contract Law Corporate - M&A Tax - Federal Tax - General Corporate - General
Job Tags:
agreements asset management blockchain corporate transactions equity finance financial products licensing M&A marketing Money Laundering Partnership partnerships Securities securities laws
Practice Area:
Corporate - Technology Transactions Corporate - Securities and Capital Markets Corporate - Contract Law Corporate - M&A Tax - Federal Tax - General Corporate - General
Job Tags:
agreements asset management blockchain corporate transactions equity finance financial products licensing M&A marketing Money Laundering Partnership partnerships Securities securities laws

Title: Senior Counsel, Product & Commercial Job Responsibilities: - Serve as a legal advisor to product and engineering teams on the development, launch, and operation of blockchain-enabled financial products. - Provide practical legal guidance throughout the product lifecycle, from ideation and design through...

Posted On Aug 20, 26
Full-time 3 views Experience : 5-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Financial Institutions FINRA health benefits Investment Advisers Act of 1940 M&A Securities securities laws stock options
Practice Area:
Corporate - Asset/Investment Management Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Financial Institutions FINRA health benefits Investment Advisers Act of 1940 M&A Securities securities laws stock options

Title: VP, Assistant General Counsel - Brokerage Job Responsibilities: - Provide day-to-day legal support for the company's financial services business, including legal analysis and advice on applicable rules, regulations, and legal risks relating to the brokerage and investment advisory business. -...

Posted On Aug 24, 26
Full-time 2 views Experience : Min 6 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
agreements cryptocurrency derivatives equity finance financial products financial services regulation FINRA lending licensing marketing Securities spectrum
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
agreements cryptocurrency derivatives equity finance financial products financial services regulation FINRA lending licensing marketing Securities spectrum

Title: Product Counsel Job Responsibilities: - Provide risk-principled legal, regulatory, and strategic advice to product, design, marketing, and technology teams during all phases of the product development lifecycle. - Offer holistic legal support for complex financial arrangements at the intersection of cryptocurrency and...

Posted On Sep 15, 26
Full-time 1 views Experience : 2-8 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Practice Area:
Corporate - Securities and Capital Markets Corporate - General

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 broker-dealers and financial institutions on... regulatory obligations...

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