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In - House Investment Banking Attorney

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Company: Compliance Search Group

Location: New York City, NY

Date Posted: August 12, 2014

Source: TheLadders.com

In-House Investment Banking Attorney


Top tier global bank seeks an attorney to offer legal advice and guidance for the equity sales and trading divisions.


Job Description:

Candidate will have two coverage mandates:


(1) advise structures, salespersons and traders who create and market equity derivatives, including ASRs, convertible/call spreads, collars, pre-paid forwards, swaps, new proprietary indices, shelf-registered derivatives and privately placed securities. Candidate will deal with issues arising under the Securities and Exchange Acts, Investment Company and Advisers’ Acts, FINRA and exchange rules and ERISA. Candidate will counsel on and help craft outcomes which appropriately balance risk and commerce, ensure efficient outside counsel coverage, maintain transaction templates, negotiate distributor agreements, review prospectus disclosure, ensure that internal policies are followed, and liaise with regulators, industry groups and internal business, Credit, Finance, Compliance, Treasury and Legal contacts, both domestically and internationally.

(2) help on Dodd Frank/other regulatory issues by advising internal ...

In-House Investment Banking Attorney


Top tier global bank seeks an attorney to offer legal advice and guidance for the equity sales and trading divisions.


Job Description:

Candidate will have two coverage mandates:


(1) advise structures, salespersons and traders who create and market equity derivatives, including ASRs, convertible/call spreads, collars, pre-paid forwards, swaps, new proprietary indices, shelf-registered derivatives and privately placed securities. Candidate will deal with issues arising under the Securities and Exchange Acts, Investment Company and Advisers’ Acts, FINRA and exchange rules and ERISA. Candidate will counsel on and help craft outcomes which appropriately balance risk and commerce, ensure efficient outside counsel coverage, maintain transaction templates, negotiate distributor agreements, review prospectus disclosure, ensure that internal policies are followed, and liaise with regulators, industry groups and internal business, Credit, Finance, Compliance, Treasury and Legal contacts, both domestically and internationally.

(2) help on Dodd Frank/other regulatory issues by advising internal clients, engaging with industry groups, interacting with regulators and facilitating implementation projects.


Qualifications:

1. Spent at least 2-6 years at a law firm/in-house with some relevant experience.
2. AVP or VP level.
3. In the 200 to 300 comp range



THE COMPLIANCE SEARCH GROUP, the leading and most trusted executive search firm in the nation specializing in the recruitment of Compliance, Legal, Regulatory, Risk Management, Dodd-Frank, Audit, Corp. Governance, Credit, Accounting, Tax and Finance. We have an unparalleled track record of placing hundreds of Compliance professionals ranging from staff levels to Chief Compliance Officers with the nation's top-tier firms.


Resumes will be forwarded to Jack Kelly - JKelly

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