FINRA/SEC Partner - NYC

Jobot; New York (NY); On-site; USD 500,000 - 1,000,000; Full time

Benefits offered by this job

Entrepreneurial environment

Platform support

Uncapped commissions

Maintain autonomy

Job summary

Jobot is confidentially seeking a FINRA/SEC Partner to join a well-established, entrepreneurial firm in New York City. The opportunity offers a permanent, on-site role with a $500k–$1,000k annual compensation and uncapped commissions.

The candidate should bring $750k+ in portable business and a substantial practice focused on FINRA, SEC, securities regulation, and/or financial services, along with strong relationships with securities clients and a proven BD track record.

Qualifications

• FINRA/SEC experience in securities regulation required.
• Proven ability to develop and retain clients and secure new opportunities.
• Strong relationships with broker-dealers, investment advisers, financial institutions, and other securities clients.

Skills

FINRA/SEC experience

Business development

Relationship management

Securities regulation

Job description

FINRA/SEC Partner - NYC

$500000 - $1000000 per year | New York, NY | On-site | Permanent

Confidential search for a FINRA/SEC Partner to join a well-established, entrepreneurial law firm in New York City.

A bit about us:

We are conducting a confidential search a FINRA/SEC Partner to join a well-established, entrepreneurial firm in New York City.

Why join us?

• Entrepreneurial Environment
• Meaningful Platform Support
• Uncapped Commissions
• Continue Growing Book without Sacrificing Autonomy

Job Details

The firm is seeking a partner with:

• $750K+ in portable business
• A substantial practice focused on FINRA, SEC, securities regulation, and/or financial services
• Strong relationships with broker-dealers, investment advisers, financial institutions, public/private companies, executives, or other securities-industry clients
• A proven track record of business development and client retention
• An interest in a platform that offers sophisticated resources while maintaining an entrepreneurial, partner-friendly environment

Jobot is an Equal Opportunity Employer. We provide an inclusive work environment that celebrates diversity and all qualified candidates receive consideration for employment without regard to race, color, sex, sexual orientation, gender identity, religion, national origin, age (40 and over), disability, military status, genetic information or any other basis protected by applicable federal, state, or local laws. Jobot also prohibits harassment of applicants or employees based on any of these protected categories. It is Jobot's policy to comply with all applicable federal, state and local laws respecting consideration of unemployment status in making hiring decisions.

Sometimes Jobot is required to perform background checks with your authorization. Jobot will consider qualified candidates with criminal histories in a manner consistent with any applicable federal, state, or local law regarding criminal backgrounds, including but not limited to the Los Angeles Fair Chance Initiative for Hiring and the San Francisco Fair Chance Ordinance.

Information collected and processed as part of your Jobot candidate profile, and any job applications, resumes, or other information you choose to submit is subject to Jobot's Privacy Policy, as well as the Jobot California Worker Privacy Notice and Jobot Notice Regarding Automated Employment Decision Tools which are available at jobot.com/legal.

By applying for this job, you agree to receive calls, AI-generated calls, text messages, or emails from Jobot, and/or its agents and contracted partners. Frequency varies for text messages. Message and data rates may apply. Carriers are not liable for delayed or undelivered messages. You can reply STOP to cancel and HELP for help. You can access our privacy policy here: jobot.com/privacy-policy