Description:

Assist Global General Counsel to Research in providing legal advice to the Global Research Department Specifically, the attorney will focus on providing legal coverage globally to the equity, fixed income and quantitative research business and will be located in Midtown Manhattan. The attorney will have significant interaction with the business unit and will work closely with the research compliance professionals. The secondee will be a member of a broader group of advisory attorneys servicing A Global Leader in Financial Services Company's Institutional Securities Group global capital markets, equity sales and trading businesses and may collaborate with attorneys advising A Global Leader in Financial Services Company Wealth Management's business.

In particular, the position is expected to involve: working closely with individual research analysts; developing and implementing policy and managing compliance with all relevant aspects of regulatory guidelines including the SRO analyst independence rules, Regulation AC, the global research analyst settlement; reviewing agreements, including research service agreements, vendor agreements, amongst others; review of new products, strategies and services; working with Compliance, Risk and the business units to implement new regulatory initiatives and respond to regulatory inquiries; coordinating with Operations and IT personnel and other coverage attorneys to address business enhancement needs and regulatory changes; and identifying legal and other risks.

Qualifications:
Minimum of 4 years relevant experience including US securities laws or regulatory experience. Experience with broker-dealer rules (including for example, rules concerning conflicts, communication with the public and advertising) is helpful.
following skills and qualities: