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VP, Assistant General Counsel – Broker-Dealer Cash Equities
As a VP, Assistant General Counsel -Broker-Dealer Cash Equities you will involve the provision of legal and regulatory advice to the cash equities research, sales and trading businesses. You will work closely with the business, compliance, other internal control functions, internal and external legal colleagues as well as regulators, including the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and other Self-regulatory organizations (SRO’s), in performing these functions. You will report directly to the Head of Broker-Dealer Cash Equities Legal group.
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