Broker-Dealer Finance Associate or Staff Attorney

Direct Counsel; New York (NY); On-site; USD 365,000 - 435,000; Full time

Job summary

A prestigious Am Law 100 firm in New York is seeking a Broker-Dealer Finance Associate or Staff Attorney to join their regulatory and compliance practice. The role involves advising financial institutions on complex regulations and compliance obligations, with a strong emphasis on SEC and FINRA rules. Candidates should possess a J.D. from a top-tier law school and a minimum of 5 years of experience.

Benefits

Medical, dental, vision, life, and AD&D insurance

401(k) retirement savings plan

Back-up childcare and eldercare support

Professional development programs

Mentorship opportunities

Career advancement support

Qualifications

• 5+ years of experience in broker-dealer regulatory and compliance matters.
• Strong familiarity with SEC and FINRA regulations.

Responsibilities

• Advise on broker-dealer regulatory and compliance matters under federal securities laws.
• Counsel clients on financial responsibility rules and assist with broker-dealer registration.
• Represent clients in examinations and compliance enforcement actions.

Skills

Legal writing

Interpersonal communication

Education

J.D. from a top-tier law school

Job description

Broker-Dealer Finance Associate or Staff Attorney

Location : New York

Direct Counsel is seeking a Broker-Dealer Finance Associate or Staff Attorney to join a prestigious Am Law 100 firm in New York . This position offers the opportunity to work with a leading Broker-Dealer Regulatory & Compliance practice, advising financial institutions on complex regulatory matters, compliance obligations, and enforcement actions.

Key Responsibilities

• Advise on broker-dealer regulatory and compliance matters under federal and state securities laws and self-regulatory organization (SRO) rules, including FINRA, securities exchanges, and clearing agencies .
• Counsel clients on financial responsibility rules , including SEC Rules 15c3-1 and 15c3-3 .
• Assist with broker-dealer registration and transactional matters .
• Represent clients in examinations, investigations, and enforcement actions brought by regulatory agencies.
• Provide guidance on FINRA advertising compliance and trade reporting requirements.
• Advise on digital assets, distributed ledger technology, and emerging financial products .

Qualifications

• Education : J.D. from a top-tier law school, class of 2020 or later .
• Experience : At least 5+ years of experience in broker-dealer regulatory and compliance matters.
• Technical Knowledge : Strong familiarity with SEC and FINRA regulations, financial responsibility rules, and securities transaction compliance.
• Skills : Superior academic credentials, excellent legal writing, and strong interpersonal communication.
• Salary Range :

Associate : $365,000 - $435,000

• Staff Attorney : $105,000 - $140,000
• Compensation may vary based on experience, skills, and firm policies.

Medical, dental, vision, life, and AD&D insurance.

• 401(k) retirement savings plan.
• Back-up childcare and eldercare support.
• Professional development programs, mentorship opportunities, and career advancement support.

This firm is committed to fostering a diverse and inclusive workplace and considers all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.