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

Internal Revenue Service; New York (NY); On-site; USD 130,000 - 200,000; Full time

Job summary

The Legal Department of a leading financial institution seeks a Broker-Dealer & Cash Equities Attorney to provide critical legal and regulatory support. This role involves advising on compliance matters and equity trading regulations while working in a dynamic and collaborative environment. Candidates must possess a Law Degree and substantial legal experience, specifically within broker-dealer operations.

Qualifications

• Minimum 5 years of legal or compliance experience advising on broker-dealer issues.
• Must be licensed to practice in New York.
• Strong familiarity with compliance policies preferred.

Responsibilities

• Advise on cash equities business and regulatory requirements.
• Support product desks with legal advice for market issues.
• Participate in policy development for regulatory compliance.

Skills

Legal Advisory

Regulatory Compliance

Broker-Dealer Regulations

Cash Equities Knowledge

Education

Law Degree/Juris Doctorate

Job description

Description

The Legal Department of JPMorgan is currently seeking a highly motivated individual to join itsEquities Practice Group within the Corporate & Investment Bankas 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 theU.S. Securities and Exchange Commission(SEC),Financial Industry Regulatory Authority(FINRA) and otherSelf-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 clearancereview 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.