JPMorganChase
Broker-Dealer & Cash Equities Attorney - Assistant General Counsel - Vice Presid
JPMorganChase, New York, New York, us, 10261
Overview
Broker-Dealer & Cash Equities Attorney - Assistant General Counsel - Vice President for JPMorgan Chase & Co. The Legal Department’s Equities Practice Group within the Corporate & Investment Bank seeks a highly motivated attorney to provide legal and regulatory guidance to the cash equities research, sales and trading businesses. The attorney will work with the business, compliance, other internal control functions, internal and external legal colleagues, and regulators (including the U.S. Securities and Exchange Commission, FINRA, and other SROs). The role reports directly to the Head of the Broker-Dealer & Cash Equities Legal group. Responsibilities
Advise broker-dealer cash equities business managers and registered representatives on issues involving equity research, sales and trading, broker-dealer regulatory requirements, SEC and SRO rule interpretations, technology and operational issues, and client matters. Provide legal advice and support for product desks within the broker-dealer cash equity business; advise on market structure developments, best execution requirements, market making, and electronic trading issues. Participate in development and implementation of new policies and procedures to comply with new regulatory initiatives. Participate in new business initiatives, business expansion, and technology development/rollouts. Interact with compliance and other control functions regarding supervision, surveillance and monitoring of business activities to identify and resolve regulatory, compliance and control issues. Assist in regulatory examinations, inquiries and investigations by the SEC, FINRA and other SROs and regulators. Attend meetings with line of business management and representatives; participate on internal committees and working groups; participate in industry groups and forums related to the cash equities business. Qualifications
Law Degree/Juris Doctorate and licensed to practice in New York – required. Minimum 5 years legal or compliance experience at a law firm, regulator, and/or financial institution advising on broker-dealer regulatory issues, cash equity trading issues and securities transactions. All candidates for roles in the Legal department must successfully complete a conflicts of interest clearance review prior to commencement of employment. Preferred Qualifications
Strong experience and familiarity with broker-dealer cash equities legal, regulatory and compliance issues, broker-dealer regulatory requirements, and supervisory and compliance policies and procedures – strongly preferred. About Us
JPMorgan Chase & Co. offers innovative financial solutions to millions of consumers, small businesses and many of the world’s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management. We offer a competitive total rewards package including base salary determined by role, experience, skill set and location. Benefits include comprehensive health care coverage, retirement savings plans, and additional programs. Details about total compensation and benefits will be provided during the hiring process. We are an equal opportunity employer and value diversity and inclusion. We do not discriminate on protected attributes and provide reasonable accommodations for applicants’ religious practices and beliefs, as well as mental health or physical disability needs. JPMorgan Chase & Co. is an Equal Opportunity Employer, including Disability/Veterans. Team & Organization
Our Legal team tackles complex issues and helps shape regulatory developments. The group is organized to align with lines of business and corporate staff areas, promoting collaboration on legal, regulatory and business matters. Seniority level: Mid-Senior level Employment type: Full-time Job function: Finance and Sales
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Broker-Dealer & Cash Equities Attorney - Assistant General Counsel - Vice President for JPMorgan Chase & Co. The Legal Department’s Equities Practice Group within the Corporate & Investment Bank seeks a highly motivated attorney to provide legal and regulatory guidance to the cash equities research, sales and trading businesses. The attorney will work with the business, compliance, other internal control functions, internal and external legal colleagues, and regulators (including the U.S. Securities and Exchange Commission, FINRA, and other SROs). The role reports directly to the Head of the Broker-Dealer & Cash Equities Legal group. Responsibilities
Advise broker-dealer cash equities business managers and registered representatives on issues involving equity research, sales and trading, broker-dealer regulatory requirements, SEC and SRO rule interpretations, technology and operational issues, and client matters. Provide legal advice and support for product desks within the broker-dealer cash equity business; advise on market structure developments, best execution requirements, market making, and electronic trading issues. Participate in development and implementation of new policies and procedures to comply with new regulatory initiatives. Participate in new business initiatives, business expansion, and technology development/rollouts. Interact with compliance and other control functions regarding supervision, surveillance and monitoring of business activities to identify and resolve regulatory, compliance and control issues. Assist in regulatory examinations, inquiries and investigations by the SEC, FINRA and other SROs and regulators. Attend meetings with line of business management and representatives; participate on internal committees and working groups; participate in industry groups and forums related to the cash equities business. Qualifications
Law Degree/Juris Doctorate and licensed to practice in New York – required. Minimum 5 years legal or compliance experience at a law firm, regulator, and/or financial institution advising on broker-dealer regulatory issues, cash equity trading issues and securities transactions. All candidates for roles in the Legal department must successfully complete a conflicts of interest clearance review prior to commencement of employment. Preferred Qualifications
Strong experience and familiarity with broker-dealer cash equities legal, regulatory and compliance issues, broker-dealer regulatory requirements, and supervisory and compliance policies and procedures – strongly preferred. About Us
JPMorgan Chase & Co. offers innovative financial solutions to millions of consumers, small businesses and many of the world’s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management. We offer a competitive total rewards package including base salary determined by role, experience, skill set and location. Benefits include comprehensive health care coverage, retirement savings plans, and additional programs. Details about total compensation and benefits will be provided during the hiring process. We are an equal opportunity employer and value diversity and inclusion. We do not discriminate on protected attributes and provide reasonable accommodations for applicants’ religious practices and beliefs, as well as mental health or physical disability needs. JPMorgan Chase & Co. is an Equal Opportunity Employer, including Disability/Veterans. Team & Organization
Our Legal team tackles complex issues and helps shape regulatory developments. The group is organized to align with lines of business and corporate staff areas, promoting collaboration on legal, regulatory and business matters. Seniority level: Mid-Senior level Employment type: Full-time Job function: Finance and Sales
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