Broker-Dealer & Cash Equities Attorney - Vice President, Assistant General Counsel -

AECOM; New York (NY); On-site; USD 199,000 - 275,000; Full time

Job summary

A leading financial institution is looking for a Broker-Dealer & Cash Equities Attorney in New York, providing legal advice to the equities trading business. Ideal candidates will have extensive experience in broker-dealer regulations and legal compliance, contributing to a high-performing legal team within a dynamic environment.

Benefits

Comprehensive health care coverage

Retirement savings plan

Tuition reimbursement

Mental health support

Financial coaching

Qualifications

• 5+ years legal experience advising on broker-dealer regulatory issues and cash equity trading.
• Licensed to practice in New York, with strong compliance skills desired.
• Able to engage with internal committees and external regulators.

Responsibilities

• Advise on equity research, sales, trading, and regulatory compliance.
• Support cash equities product desks and manage compliance issues.
• Participate in regulatory inquiries and business initiatives.

Skills

Legal Advice

Regulatory Compliance

Broker-Dealer Regulation

Market Structure Understanding

Education

Law Degree/Juris Doctorate

Job description

The Legal Department of JPMorgan is currently seeking a highly motivated individual to join its Equities Practice Group within the Corporate & Investment Bank as a Broker-Dealer & Cash Equities Attorney.

As a Broker-Dealer & Cash Equities Attorney within the Broker-Dealer & Cash Equities Legal group , you will provide legal and regulatory advice to the cash equities research, sales and trading businesses. You will work closely with the business, compliance, other internal control functions, internal and external legal colleagues as well as regulators, including the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and other Self-regulatory organizations (SRO's), in performing these functions. You will report directly to the Head of the Broker-Dealer & Cash Equities Legal group.

The Legal Department at JPMorgan Chase & Co. manages legal and other risks, advises on products and services, interprets laws and regulations that impact the firm, and advises the firm on other matters. Our global team is made up of 2,000 lawyers and legal professionals with a reputation as thought leaders who deliver best-in-class services. As trusted advisors, we help the firm's clients while also safeguarding the integrity of the firm. We are committed to a culture of inclusivity and belonging, where people can grow and succeed throughout their careers while working for a first-in-class financial institution doing cutting-edge work. If these values resonate with you, we would like to hear from you.

Job Responsibilities:

+ Advise the broker-dealer cash equities business managers and registered representatives on issues involving equity research, sales and trading, broker-dealer regulatory requirements, SEC and SRO rule interpretations, technology and operational issues, and client matters

+ Provide legal advice and support for the various product desks within the broker-dealer cash equity business and advise on market structure developments, best execution requirements, market making, and electronic trading issues

+ Participate in development and implementation of new policies & procedures to comply with new regulatory initiatives

+ Participate in new business initiatives, business expansion, and technology development/rollouts

+ Interact with compliance and other control functions of the firm regarding supervision, surveillance and monitoring of business activities to identify and assist in resolution of regulatory, compliance and control issues

+ Assist in regulatory examinations, inquiries and investigations by the SEC, FINRA and other SROs and regulators

+ Attend meetings with line of business management and representatives, as necessary; Participate on internal committees and working groups; and Participate in industry groups and forums related to cash equities business

Required qualifications, capabilities and skills:

+ Law Degree/Juris Doctorate and licensed to practice in New York - required.

+ Minimum 5 years legal or compliance experience at a law firm, regulator, and/or financial institution advising on broker-dealer regulatory issues, cash equity trading issues and securities transactions

+ All candidates for roles in the Legal department must successfully complete a conflicts of interest clearance review prior to commencement of employment

Preferred qualifications, capabilities and skills:

+ Strong experience and familiarity with broker-dealer cash equities legal, regulatory and compliance issues, broker-dealer regulatory requirements, and supervisory and compliance policies and procedures - strongly preferred

All candidates for roles in the Legal department must be licensed to practice law in the country of employment and successfully complete a conflicts of interest clearance review prior to commencement of employment.

JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.

JPMorgan Chase & Co. is an Equal Opportunity Employer, including Disability/Veterans

**Base Pay/Salary**

New York,NY $199,500.00 - $275,000.00 / year