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Cash Equity Attorney
Cash Equity Attorney
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March 5, 2020
Raleigh, North Carolina
Assist senior attorney with providing legal coverage to all U.S. Cash Equity businesses
Review and negotiate electronic trading agreements, standard trading and onboarding agreements, confidentiality agreements, licensing agreements, and ad-hoc agreements of various types where needed
Advise on equity sales and trading questions
Monitor regulatory developments (including SEC and SRO rules/regulations), advise the front office, and serve as the legal adviser on implementation of major regulatory initiatives
Research and draft memos on various trading, equity market structure, and digital assets issues
Get along with the Institutional Equities businesses, as well as, other control functions such as Compliance, IT, Operations, New Business, Client On-Boarding, and Regulatory Change Implementation
Undertake proactive initiatives with respect to the legal/regulatory implications of business processes and structures
Equivalent work experience of at least 2-4 years of financial services legal experience as an attorney
Outstanding knowledge of general contract law and strong drafting skills; additional expertise with securities laws, broker-dealer regulation, and corporate law a plus!
Equivalent experience in reviewing and analyzing legislation, rules, and regulations
Experience reviewing licensing agreements
Ability to work within a team and coordinate internally with all business partners!
Takes ownership of work product; displays interpersonal skills and ability to prioritize effectively
Excellent written and verbal communication skills
Capable of assessing risks and clearly communicating said risks to accurate decision-makers; demonstrates excellent judgment
Experience (or willingness to gain experience) with project prioritization, management, implementation, and governance
Love for broker dealer regulation, the financial markets, and equity trading will be plus.
Internal Number: 7235232
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