Investment Management- Financial Institutions Junior / Midlevel Associate

One to four years of large law firm experience or equivalent experience in-house or with a regulatory organization

One to four years of experience with the full range of issues involving broker-dealer regulation

Experience with the compliance and regulatory obligations applicable to broker-dealers arising under federal and state securities laws (with a focus on the Exchange Act, but with knowledge and understanding of key issues arising under the Securities Act, Advisers Act, and Investment Company Act) and rules and regulations of the SEC, FINRA, and other self-regulatory organizations

Experience with matters such as broker and dealer federal and state registration requirements (and exemptions), FINRA and state licensing exams, sales practice issues (e.g., Regulation Best Interest), marketing and communications issues (e.g., digital communications, social media, “off-channel” communications), trading and market structure (e.g., best execution, payment for order flow, clearing arrangements), supervisory and compliance structures, including automation, outsourcing, and development of policies and procedures, and recordkeeping

Experience with advising clients in M&A and other change-of-control transactions, employee compensation and disciplinary matters, SEC and FINRA examinations, and enforcement defense and litigation matters

Familiarity with the businesses of, and a general understanding of the regulatory regimes applicable to, 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, including regulatory compliance, product design and implementation, and securities examinations and enforcement

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