11 hours ago
Associate - Financial Institutions (Broker-Dealer, Regulatory & Enforcement) – New York
Key requirements
Minimum of three years of relevant experience at a law firm, regulatory agency, or in-house at a financial institution, with a substantive focus on broker-dealer regulation Strong working knowledge of the Securities Exchange Act of 1934, FINRA rules, and SEC regulations applicable to broker-dealers Excellent academic credentials Superior analytical, drafting, and communication skills
The role
McDermott Will & Schulte is seeking an Associate with 3+ years of experience for its Financial Institutions Group in New York. The role focuses on advising broker-dealers and other financial services clients on a broad range of regulatory and enforcement matters.
What you'll do
- Advise broker-dealers, investment banks, and other financial institutions on regulatory obligations under the Securities Exchange Act of 1934, FINRA rules, and related state and federal securities laws
- Assist clients with broker-dealer registration, licensing, and ongoing compliance matters
- Support internal investigations, regulatory examinations, and enforcement matters involving the SEC, FINRA, and state securities regulators
- Draft and review compliance policies, supervisory procedures, and written supervisory procedures (WSPs)
- Analyze new products, services, and business lines for regulatory implications
- Assist in structuring broker-dealer transactions, including mergers, acquisitions, and restructurings involving regulated entities
- Monitor and advise on regulatory developments affecting the broker-dealer industry
- Prepare client memoranda, regulatory filings, and correspondence with regulators
- Collaborate with partners and cross-practice teams on multi-disciplinary client matters
What we're looking for
Minimum of three years of relevant experience at a law firm, regulatory agency, or in-house at a financial institution, with a substantive focus on broker-dealer regulation
Strong working knowledge of the Securities Exchange Act of 1934, FINRA rules, and SEC regulations applicable to broker-dealers
Excellent academic credentials
Superior analytical, drafting, and communication skills
Ability to manage multiple matters independently while working collaboratively within a team environment
Strong client service orientation and sound business judgment
J.D. from an accredited law school
Must be barred in the state of New York
Experience with regulatory examinations, inquiries, or enforcement matters is strongly preferred· nice to have
Benefits
Competitive compensation packages
Award-winning professional development programs
Industry-leading wellness initiatives
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Associate - Financial Institutions (Broker-Dealer, Regulatory & Enforcement) – New York
McDermott Will & Schulte · New York · $270,000 – $455,000
New York · $270,000 – $455,000