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Wealth Management Securities Attorney
Refer job# SIYN135655
 
Wealth Management Securities Attorney The candidate will advise senior International and UHNW business management on day-to-day issue of US and non-US securities, broker-dealer and investment advisory laws in connection with the delivery of wealth management solutions to high net worth and ultra-high net worth foreign and domestic clients holding assets in the US. Will support strategic initiatives and projects with affiliates globally, typically in a cross-border context. Act as point of entry for legal and regulatory matters from branches, supporting the business in implementing the regulatory framework and managing day to day broker/dealer issues with respect to documentation, referrals, and all rules relating to international wealth management business. Work with outside counsel and colleagues in multiple countries to draft and maintain rules for the cross-border provision of financial services from the US. Advise on maintenance of FINRA-registered office locations in foreign jurisdictions, working with outside counsel to advise on all aspects of compliance with laws of the foreign jurisdictions, including litigation and regulatory risks. Organize legal research used by the Cross-Border and International Legal team and assist with managing group projects. Must have 8+ years of experience as an attorney in a law firm, in-house in financial services or with a regulator, 5+ years of which focusing on broker/dealer and other regulatory matters. Fluency in Spanish is a strong plus.
 
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ID #Z12M131669

Nashville office of our client seeks corporate and securities attorney with 3-6 years of experience advising on private offerings and shareholder activism issues. The candidate should preferably have ...


 

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