Counsel - Broker-Dealer Regulatory
Page Executive New York
About Our Client
Investment bank.
Job Description- Provide transactional and regulatory support to the municipal securities business, both origination and secondary trading.
- Provide regulatory advice on a wide range of issues including trade reporting, consolidated audit trail, data and information management and retention, automated trading, advertising and marketing.
- Draft and negotiate trading and related agreements in connection with trading platforms, electronic trading, market data and software licensing.
- Work closely with Business Management and Compliance to implement and develop internal procedures and controls.
- Work with Litigation and Regulatory Investigations to respond to regulatory inquiries and document requests.
- Follow legislative and regulatory developments including through membership in industry associations.
- JD from top US Law School
- Admitted to NY State Bar
- 6-8+ years of experience handling broker-dealer regulatory and municipal securities regulatory matters
- Expertise in broker-dealer and securities laws related to municipal securities (Securities Act of 1933, Securities Exchange Act of 1934, MSRB rules, and related rules and regulations, including FINRA rules)
- Relevant experience in dealing with a broad range of regulatory issues in the banking industry, preferably foreign banking organizations
- Experience with FINRA requirements, especially in the context of equity capital markets, debt capital markets and structured products
- Experience in counseling/advising business teams
- Competitive base salary
- Bonus
- Additional benefits
- Medical, dental, vision insurance
- Hybrid schedule
- 401(k)
- Paid parental leave
- Commuter benefits
New York
Position Summary:
Vista Equity Partners (“Vista”) is seeking to hire a highly accountable and diligent Associate, who will work with the Fund Formation and Broker-Dealer entity to support Vista’s marketing and investor on-boarding functions.
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