Associate Attorney

at  StoneX Group

Birmingham, AL 35243, USA -

Start DateExpiry DateSalaryPosted OnExperienceSkillsTelecommuteSponsor Visa
Immediate23 Oct, 2024Not Specified25 Jul, 20245 year(s) or aboveBest Execution,Broker Dealer,Interpersonal RelationshipsNoNo
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Description:

JOB REQUIREMENTS:

  • 5+ years’ legal experience post JD
  • Strong substantive knowledge of broker dealer and investment advisor regulation, including: sales practices, order handling and trade reporting rules, best execution, “know your customer”, Regulation NMS, Reg SHO, and Regulation BI.
  • High level of initiative, integrity, and organization
  • Adept at developing interpersonal relationships
  • Strong, written and verbal communications skills

Responsibilities:

POSITION PURPOSE

Broker-Dealer/Investment Advisor Regulatory Attorney - StoneX Financial Inc. is looking for a mid-level attorney with significant experience in broker-dealer and investment advisor regulatory and transactional matters. Experience with cross-border concerns is a plus.

RESPONSIBILITIES

  • Advising broker-dealer and investment advisor entities on regulatory and compliance issues in domestic and cross-border operations;
  • Assist Compliance in responding to regulatory inquiries;
  • Drafting/negotiating forms and agreements;
  • Assisting in creation of policies and procedures;
    Qualifications:

REQUIREMENT SUMMARY

Min:5.0Max:10.0 year(s)

Financial Services

Banking / Insurance

Finance

Graduate

Proficient

1

Birmingham, AL 35243, USA