Equity Capital Markets Counsel And Compliance Officer Counsel Jobs in New_York - 168319 | Submit Resume | General Counsel Consulting
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Equity Capital Markets Counsel And Compliance Officer
Refer job# FFEZ168319
 
Equity Capital Markets Counsel and Compliance Officer Responsibilities: Provide advisory support for transactions as well as developing and enhancing SCB's ECM policies, training, and control room procedures. Support the US ECM business and assist in the launch and support of a European ECM business. In supporting the European ECM business, need to develop relationships with regional external counsel, participate in and manage transactional support, and build-out the Firm's internal know-how to underpin our participation in global ECM transactions. IProvide legal and compliance support of the broader SCB business, including the negotiation of agreements related to SCB's research and equity trading business, advising on new business initiatives, assisting with regulatory filings, and providing assistance in responding to regulatory inquiries. Ensuring compliance with all of the legal and regulatory requirements to which we are subject, protecting the firm from regulatory and reputational risk across the globe, and strengthening the firm's culture of compliance.

Qualifications: Should have 5-8 years of experience at a reputable law firm and as an in-house attorney in an investment bank legal department. Must have direct, recent, relevant experience reviewing, negotiating, and drafting applicable transactional agreements and documentation, as well as with the rules, policies and market practices related to managing the interactions between equity capital markets personnel and research, sales, and trading departments. Experience with non-US ECM rules and practices is desirable (including a practical awareness of managing rules relating to regional selling restrictions).
 
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