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Broker Dealer Jobs in Mount Kisco

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United States
Posted On Jul 13, 26
Full-time 4 views Experience : Min 5 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Private Equity Corporate - General
Job Tags:
agreements Capital Markets derivatives employee benefits equity ERISA FINRA marketing Partnership private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management
Practice Area:
Corporate - Securities and Capital Markets Corporate - Private Equity Corporate - General
Job Tags:
agreements Capital Markets derivatives employee benefits equity ERISA FINRA marketing Partnership private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management

Title: Capital Markets / Private Markets Attorney Job Responsibilities: - Provide legal coverage for the Capital Markets and Private Markets businesses at the company, with a focus on the Private Securities transactional business. - Work closely with a team of seven capital markets...

Posted On Aug 18, 26
Full-time Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - Venture Capital/Emerging Companies Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - Venture Capital/Emerging Companies Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management

Title: Executive Director Level Attorney Job Responsibilities: The Executive Director Level Attorney will have a highly visible role within the company, focusing on the Alternative Investments and Private Markets platforms. Key responsibilities include: - Advising on the structuring, distribution, marketing,...

Posted On Sep 10, 26
Full-time 22 views Experience : Min 5 yrs required
Practice Area:
Corporate - Private Equity Corporate - Asset/Investment Management Corporate - M&A
Job Tags:
agreements Capital Markets derivatives employee benefits equity ERISA FINRA marketing Partnership private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management
Practice Area:
Corporate - Private Equity Corporate - Asset/Investment Management Corporate - M&A
Job Tags:
agreements Capital Markets derivatives employee benefits equity ERISA FINRA marketing Partnership private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management

Title: Vice President, Legal and Compliance Division - Capital Markets and Private Markets Job Responsibilities: The Vice President in the Legal and Compliance Division will provide legal coverage for the Capital Markets and Private Markets businesses within the company. The attorney will focus...

Posted On Sep 18, 26
Full-time 2 views Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - Venture Capital/Emerging Companies Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - Venture Capital/Emerging Companies Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management

Title ED, Alternative Investments Attorney Job Responsibilities The Executive Director level attorney at the company will be primarily responsible for advising on the structuring, distribution, marketing, diligence, and ongoing support of alternative investment and private markets products and private securities...

Posted On Aug 10, 26
Full-time 1 views Experience : Min 7 yrs required
Practice Area:
Litigation - White Collar Crime & Government Investigations - Defense Litigation - Securities Litigation - Defense
Job Tags:
agreements brokers Cybersecurity financial services regulatory fraud hedge funds Litigation Securities title
Practice Area:
Litigation - White Collar Crime & Government Investigations - Defense Litigation - Securities Litigation - Defense
Job Tags:
agreements brokers Cybersecurity financial services regulatory fraud hedge funds Litigation Securities title

Litigation - Associate General Counsel Job Responsibilities: - Represent the company in arbitration and other adversarial proceedings, both directly and in collaboration with outside counsel. - Coordinate with outside counsel on court actions involving the company. - Represent company employees in third-party proceedings. - Advise...

Posted On Jul 15, 26
Full-time 2 views Experience : 7-8 yrs required
Practice Area:
Tax - Controversy and Dispute Resolution Tax - State & Local Tax - IRS Audits and Appeals Tax - General
Job Tags:
appeals brokers Case Law child derivatives Financial Institutions financial products Foreign Exchange Government hedge funds Insurance lending Litigation marketing NASDAQ Securities special projects Taxation
Practice Area:
Tax - Controversy and Dispute Resolution Tax - State & Local Tax - IRS Audits and Appeals Tax - General
Job Tags:
appeals brokers Case Law child derivatives Financial Institutions financial products Foreign Exchange Government hedge funds Insurance lending Litigation marketing NASDAQ Securities special projects Taxation

Title: Tax Counsel Job Responsibilities: - Serve as the primary legal advocate for managing all aspects of . federal, state, and foreign tax controversies, audits, and disputes. - Lead and manage state and local tax audits across multiple jurisdictions, including correspondence, negotiations, and...

Posted On Sep 08, 26
Full-time 7 views Experience : 10-15 yrs required
Job Tags:
Affirmative Action AML Broker Dealer due diligence equity Money Laundering Securities Act of 1933
Job Tags:
Affirmative Action AML Broker Dealer due diligence equity Money Laundering Securities Act of 1933

the Role Company is seeking a Vice President to join its Regulatory and Compliance team. The candidate will collaborate with senior Compliance team members to ensure adherence to AML regulatory requirements in the United States and other regions where Company...

Posted On Aug 21, 26
Full-time 3 views Experience : Min 15 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets
Job Tags:
40 Act cryptocurrency due diligence ETFs finance FINRA Investment Advisers Act of 1940 marketing Securities Act of 1933 Securities Exchange Act of 1934 spectrum trusts
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets
Job Tags:
40 Act cryptocurrency due diligence ETFs finance FINRA Investment Advisers Act of 1940 marketing Securities Act of 1933 Securities Exchange Act of 1934 spectrum trusts

Registered Investment Adviser (RIA), Broker-Dealer (B/D), and 40 Act... registered fund obligations, including all policies, procedures, testing, and supervisory controls. - Monitor proposed SEC, FINRA, NFA, and CFTC rulemaking on an ongoing basis and translate regulatory developments into timely, actionable...

Posted On Sep 21, 26
Full-time Experience : Min 3 yrs required
Practice Area:
Finance - Financial Services Regulation
Job Tags:
brokers derivatives Emerging Markets family finance Foreign Exchange Securities swaps Women
Practice Area:
Finance - Financial Services Regulation
Job Tags:
brokers derivatives Emerging Markets family finance Foreign Exchange Securities swaps Women

Title: Compliance Professional Job Responsibilities: - Provide advice and guidance to the Global Macro business, covering rates, foreign exchange, emerging markets, credit, asset-backed securities, and macro derivatives strategies. - Partner with macro portfolio managers and trading teams to implement and enforce practical, real-time...

Posted On Aug 09, 26
Full-time 2 views Experience : Min 5 yrs required
Job Tags:
family finance securities laws Women
Job Tags:
family finance securities laws Women

Title: Compliance Professional Job Responsibilities: - Provide real-time compliance coverage for traders, offering clear and actionable guidance on trade approvals and trading conduct. - Support and enhance the trading compliance program for the firm's trading desks, driving measurable improvements in controls and monitoring. -...

Posted On Sep 24, 26
Full-time 2 views Experience : Min 6 yrs required
Job Tags:
AML crime criminal emerging technologies finance Financial Institutions fraud Government Immigration Insurance Money Laundering Mutual Funds OFAC public sector Software terrorist financing
Job Tags:
AML crime criminal emerging technologies finance Financial Institutions fraud Government Immigration Insurance Money Laundering Mutual Funds OFAC public sector Software terrorist financing

Title: Manager - Anti-Money Laundering - Financial Crime and Fraud Job Responsibilities: As an Anti-Money Laundering (AML) Manager, the primary responsibility is to assist clients in mitigating risks related to money laundering, terrorist financing, and sanctions violations. This role requires improving clients'...

Posted On Aug 11, 26
Full-time 16 views Experience : 1-3 yrs required
Practice Area:
Insurance - Regulatory & Compliance Corporate - Asset/Investment Management Corporate - M&A
Practice Area:
Insurance - Regulatory & Compliance Corporate - Asset/Investment Management Corporate - M&A

NY or Chicago, IL. The successful candidate will have experience in fund formation, investment management, and/or broker-dealer regulation. This role involves... providing strategic counsel to insurance companies and other industry stakeholders, ensuring compliance with regulatory frameworks while facilitating corporate ...

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