Broker-Dealer Compliance and Regulation Associate - Securities and Financial Services, New York, Washington DC

Broker-Dealer Compliance and Regulation Associate - Securities and Financial Services, New York, Washington DC

The Broker-Dealer Compliance and Regulation Group of our Securities and Financial Services Department  is interested in discussing positions with attorneys who have one to five years of relevant post-JD experience. Our practice in this area involves providing advice to multinational and US securities firms, investment banks, securities exchanges and other trading platforms, financial services firms, fintech firms and other market players regarding federal securities and futures/derivatives laws, rules and regulations, and self-regulatory organization rules. Our diverse practice includes working on a range of cutting edge matters such as: advising on complex regulatory requirements and developments in both advisory and enforcement contexts; assisting major financial institutions in integrating regulatory requirements into their business practices; conducting internal investigations and reviews; responding to requests from regulators and government agencies; advising on cross-border issues; reviewing business practices for compliance with regulatory requirements; participating in the administrative law rulemaking process; and obtaining regulatory approvals for acquisitions, novel products and other transactions. Substantive topics vary, including: trading issues; sales practice issues; product development; futures and derivatives; financing, prime brokerage and clearance matters; regulatory reporting; capital requirements; anti-money laundering and privacy issues; information barriers; and conflicts of interest; cryptocurrency and digital assets. Prior Broker Dealer experience or  working with the SEC or FINRA would be helpful but is not required.

WilmerHale is an Equal Opportunity Employer. All qualified applicants will receive consideration without regard to race, color, religion, gender, sexual orientation, gender identity, national origin or ancestry, age, disability or veteran status, or other protected status.

If you are a candidate, please submit your online application here.

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