Legal – Gbm – FICC Cash Trading Attorney – Vice President

Legal – Gbm – FICC Cash Trading Attorney – Vice President

Requirements

• Strong sense of ownership and responsibility; thoughtful and detail-oriented
• Ability to engage proactively as an advisor to the business and confidently work with senior stakeholders surrounding complex situations
• Self-starter; capable of building and leveraging an internal network of resources and support
• Strong legal and business judgment, communication, writing and analytical skills
• 10+ years of relevant experience working with or at a financial institution, including relevant experience at a law firm, is preferred
• Knowledge of the U.S. securities law statutes and related regulations, such as SEC Rule 15a-6, Reg S, SEC Rule 15c2-11
• J.D. or comparable law degree from a competitive law school and licensed to practice law in at least one state

Responsibilities

• Provide legal and regulatory advice to key stakeholders in Trading, Sales, and Federation personnel on all facets of cash instrument sales and trading matters, including with respect to regulatory requirements, market structure, counterparty disputes, regulatory advocacy, cross-border issues, regulatory investigations and responses, employee conduct matters, and development of policies, procedures and best practice
• Ability to be firms representative in bilateral and SIFMA-led advocacy efforts relating to proposed rule changes, including recent interactions with Commissioners, senior staff and/or counsel (recent examples: SEC Rule 15c2-11, FRBNY trade reporting or treasuries/repo, FINRA trade modifiers)
• Advise business regarding fixed income market structure matters and negotiation of arrangements with ATSs and other electronic trading venues and data providers
• Advise senior trading heads on US Treasury Primary Dealer obligations, including with respect to Treasury securities auction and buy-back standards and interacts with US Treasury and FRBNY officials
• Advise offshore affiliates regarding cross border sales and trading matters, including with respect to SEC Rule 15a-6, Reg S, FINRA employee licensing, and OSJ and Branch office issues
• Serve as primary legal advisor in connection with development of new businesses, services and products and partner with key stakeholders to help understand and manage the potential legal and regulatory risks
• Collaborate with other control-side teams, including compliance, risk management, controllers, operations and engineering to address relevant legal and regulatory requirements impacting FICC sales and trading and developing policies and best practices
• Manage attorney coverage for US FICC Trading Desks

Preferred Qualifications

• 10+ years of relevant experience working with or at a financial institution, including relevant experience at a law firm, is preferred