17 September 2026
Investment Management- Financial Institutions Junior / Midlevel Associate
Compensation
$225,000 – $435,000
Key requirements
One to four years of experience in a large law firm or equivalent Experience with the full range of issues involving broker-dealer regulation Experience with compliance and regulatory obligations applicable to broker-dealers Experience with federal and state securities laws, SEC, FINRA, and other self-regulatory organizations rules and regulations
TrendsThe role
Morgan, Lewis & Bockius is seeking a junior to mid-level associate with 1-4 years of experience for its Investment Management – Financial Institutions practice in New York or Washington D.C. The role will focus on the regulation of broker-dealers and other securities markets participants.
What we're looking for
One to four years of experience in a large law firm or equivalent
Experience with the full range of issues involving broker-dealer regulation
Experience with compliance and regulatory obligations applicable to broker-dealers
Experience with federal and state securities laws, SEC, FINRA, and other self-regulatory organizations rules and regulations
Experience with broker and dealer federal and state registration requirements
Experience with FINRA and state licensing exams
Experience with sales practice issues, including Regulation Best Interest
Experience with marketing and communications issues, including digital communications, social media, and "off-channel" communications
Experience with trading and market structure, including best execution, payment for order flow, and clearing arrangements
Experience with supervisory and compliance structures, including automation, outsourcing, and development of policies and procedures, and recordkeeping
Experience advising clients in M&A and other change-of-control transactions
Experience advising clients in employee compensation and disciplinary matters
Experience advising clients in SEC and FINRA examinations
Experience advising clients in enforcement defense and litigation matters
Familiarity with other market participants under federal and state securities laws and regulations, in particular investment advisers, banks, registered investment companies, private investment funds, and derivatives market intermediaries
Willingness to engage proactively and collaboratively with various aspects of financial institutions regulatory practice
Comparable law firm experience and/or experience working at a financial institution or regulator
Strong writing, communication, and analytical skills
Excellent academic credentials
Active member of the District of Columbia and/or New York bar
Benefits
Full range of medical benefits
Full range of financial benefits
401(k) eligibility
Various paid time off benefits, such as vacation, sick time, and parental leave
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Investment Management- Financial Institutions Junior / Midlevel Associate
Morgan, Lewis & Bockius · New York / Washington D.C. · $225,000 – $435,000
New York / Washington D.C. · $225,000 – $435,000