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Join our Financial Services team. In this role, you will provide expert legal advice and support to our clients in securities trading and prime brokerage, ensuring compliance with evolving margin lending rules and regulatory frameworks. This position offers a unique opportunity to collaborate with leading financial institutions, advising on complex securities agreements, margin regulations, and cross-asset transactions.
Job Responsibility:
Drafting, reviewing, and negotiating securities trading agreements, prime brokerage agreements, and related margin documentation
Providing legal guidance on margin lending regulations, FINRA Rule 4210, Regulation T, and Regulation U compliance
Collaborating with internal teams, trading desks, and clients on cross-asset transactions including swaps, options, futures, equities, and fixed income instruments
Managing regulatory compliance, risk mitigation, and operational issues for clients in financial services and capital markets
Staying ahead of industry trends and updated margin rules to provide proactive counsel
Requirements:
3+ years of experience in securities law, prime brokerage, or financial services legal practice
Strong knowledge of U.S. securities regulations, including the Securities Act of 1933 and Securities Exchange Act of 1934
Proven track record of advising clients on securities trading agreements, margin lending, and regulatory compliance
Excellent communication, negotiation, technology, and problem-solving skills
Juris Doctor (JD) degree or equivalent and licensed to practice law in an applicable jurisdiction
Nice to have:
Experience with fixed income and synthetic prime brokerage agreements
Hands-on experience integrating updated margin and credit regulations into transactional or advisory work
Familiarity with multi-asset trading agreements and cross-border transactions