The Director, Legal Counsel - Municipal Securities will provide legal advice to internal stakeholders pertaining to the municipal securities business, including serving as a SME on municipal securities regulatory matters.

Client Details

Global investment bank with growing legal team.

Description

• Provide transactional and regulatory advice to the municipal securities business, both origination and secondary trading
• Serve as point person for broker-dealer and securities laws related to municipal securities (Securities Act of 1933, Securities Exchange Act of 1934, MSRB rules, and related rules and regulations, including FINRA rules)
• Provide regulatory advice on a wide range of issues including market access, trade reporting, consolidated audit trail, data and information management and retention, automated electronic trading, advertising and marketing
• Draft and negotiate trading and related contracts pertaining to trading platforms, electronic trading, market data and , software licensing and direct market access
• Work closely with Trading Business Management and Compliance to implement and develop internal procedures and controls
• Work with litigation and regulatory investigations teams to address regulatory inquiries and document requests in a timely manner

Profile

• JD from an accredited law school
• Admission to the New York State Bar
• 6+ years of experience handling a wide range of legal and regulatory matters pertaining to municipal securities, ideally gained in-house at an investment bank
• Expertise in municipal securities and broker-dealer regulations, including: Securities Act of 1933, Securities Exchange Act of 1934, MSRB rules, and related rules and regulations, including FINRA rules
• Excellent research and writing skills
• Experience advising internal stakeholders on a wide range of financial products

Job Offer

• Competitive base salary
• Cash bonus
• Equity
• Growth opportunities

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.