Broker - Dealer Compliance and Regulation Associate - Securities

WilmerHale   •  

Washington, DC

Industry: Professional, Scientific & Technical Services

  •  

Less than 5 years

Posted 211 days ago

This job is no longer available.

Our Broker-Dealer Compliance and Regulation Practice in New York and Washington DC seeks an associate with one to three years' post-JD experience. Our practice in this area involves providing advice to multinational and US securities firms, securities exchanges and other market players regarding SEC, FINRA, NYSE and other securities regulations.

It includes participating in the administrative law rulemaking process, assisting major financial institutions in integrating regulatory requirements into their business practices; advising on cross-border issues; reviewing business practices for compliance with regulatory requirements; assisting clients in responding to regulatory requests in the context of both examinations and enforcement investigations; and obtaining regulatory approvals for products, acquisitions, and other transactions.

It covers a variety of topics including trading issues; sales practice issues; product development; financing, prime brokerage and clearance matters; anti-money laundering and privacy issues; information barriers; and conflicts of interest. Learn more about our Broker-Dealer Compliance and Regulation Practice.