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Posted October 21, 2019

Sr. Managing Counsel- Broker Dealer

BNY Mellon
Jersey City, NJ Full Time

Job Description A highly experienced attorney with a background providing legal advice to a financial services firm. A Senior Managing Counsel is...

Job Description

A highly experienced attorney with a background providing legal advice to a financial services firm. A Senior Managing Counsel is highly skilled and competent in his or her area of practice, is seen as an expert in that area and has leadership skills. This Senior Managing Counsel position will provide senior level business advice and counsel to BNY Mellon’s Pershing LLC and affiliated business units. The individual will also manage critical legal and regulatory issues where he/she will advise business units and provide senior level support on the regulatory issues affecting our broker dealers and registered investment advisers. In addition, this individual will provide primary legal support to the Compliance Department and advise on AML matters and issues that are core to Pershing's monitoring responsibilities. In addition, this individual will be tasked with analysis of new regulatory requirements and actively participating in crafting the road map, along with business units, to successfully implement processes to comply with such regulations. Management of other team members and related skills are important. Other key areas of responsibility include participation in senior level working groups and steering committees that are part of the firm's governance structure as well as mechanisms for creating additional opportunities for risk mitigation. This individual will possess excellent communication and interpersonal skills. This individual will be expected to interact with the senior most level of management within the firm on critical issues.

Qualifications

Legal degree with 15+ years experience

Licensed to practice law in NY and (NJ limited in house counsel license)

15+ years’ experience in financial services and specific experience with a broker-dealer, registered investment advisor, law enforcement, or a law firm specializing in financial services and/or a regulator

Thorough understanding of securities regulation and compliance issues

This listing expired on Dec 20. Applications are no longer accepted.

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