Broker-Dealer Regulation Associate (Junior–Mid)

Morgan, Lewis & Bockius LLP; New York (NY); On-site; USD 225,000 - 435,000; Full time

Job summary

Morgan, Lewis & Bockius LLP seeks a junior/midlevel associate with 1–4 years of large law firm experience or equivalent in-house or with a regulatory organization to join our Investment Management - Financial Institutions practice, focusing on broker-dealer regulation and securities markets participants.

The role involves advising on federal/state securities laws, SEC/FINRA rules, registrations and exemptions, regulatory exams, and related enforcement defense.

Qualifications

• 1–4 years of broker-dealer regulation experience.
• Experience with federal/state securities laws (SEC/FINRA) and related rules.
• Experience with broker/dealer registrations, exemptions, and sales practice issues.
• Experience in M&A/change-of-control matters, SEC/FINRA examinations, and enforcement defense.
• Strong writing, communication, and analytical skills.
• Active bar admission in DC and/or NY.

Responsibilities

• Advise on broker-dealer regulation and securities markets issues.
• Advise on registrations and exemptions under federal/state laws and SEC/FINRA rules.
• Address trading, market structure, and marketing/sales practice issues.
• Counsel on M&A, compensation matters, and examinations/enforcement defense.
• Collaborate on compliance, product design, and examinations across teams.

Skills

Regulatory knowledge

Legal writing

Analytical skills

Communication skills

Bar admission NY/DC

Education

JD or equivalent

Tools

Regulatory compliance tools

Job description

Morgan, Lewis & Bockius LLP seeks a junior/midlevel associate with 1–4 years of large law firm experience or equivalent in-house or with a regulatory organization to join our Investment Management - Financial Institutions practice, focusing on broker-dealer regulation and securities markets participants.

The role involves advising on federal/state securities laws, SEC/FINRA rules, registrations and exemptions, regulatory exams, and related enforcement defense.