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Corporate Services Senior Counsel
Refer job# BQCO135487
 
Corporate Services Senior Counsel The candidate will serve as senior legal advisor on issues relating to unregistered and restricted securities. Will complete legal enhanced due diligence reviews of deposits of unregistered and restricted securities and determine which unregistered shares are exempt from registration. Review and advise on DTCC eligibility sponsorship applications. Identify suspicious activity associated with attempted deposits and report facts and circumstances to AML. Recommend and implement approved policies and procedures related to the Firm s acceptance of securities deposits and customer resales of the deposited shares. Be knowledgeable of legal and regulatory enforcements for the resale of unregistered securities and conduct analysis to identify potential enhancements in Firm s review procedures. Know and understand interpretations and application of laws, regulations and rules with respect to the deposit and resale of unregistered securities. Understanding of the securities markets. Complete shell analysis of issuers whose shares a customer wants to deposit.

The candidate must have 5-7 years experience in securities law whether in private practice, in-house counsel, or with a regulatory authority. Must have Knowledgeable of the Securities Act of 1933 and the Securities Exchange Act in addition to related SEC regulations and FINRA rules. Must be Licensed to practice law. Must be Graduate of an ABA approved law school.
 
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