Description

You will provide expert legal advice and support to clients in securities trading and prime brokerage, ensuring compliance with evolving margin lending rules and regulatory frameworks. You'll collaborate with leading financial institutions on complex securities agreements, margin regulations, and cross-asset transactions.

Requirements

• 3+ years of experience in securities law or prime brokerage
• Strong knowledge of U.S. securities regulations (Securities Act of 1933, Exchange Act of 1934)
• Proven track record advising on securities trading agreements and margin lending
• Juris Doctor (JD) or equivalent and licensed to practice law
• Excellent communication, negotiation, and problem-solving skills

Responsibilities

• Draft, review, and negotiate securities trading and prime brokerage agreements
• Provide legal guidance on margin lending regulations, FINRA Rule 4210, Reg T, and Reg U
• Collaborate with trading desks on cross-asset transactions (swaps, options, futures, equities, fixed income)
• Manage regulatory compliance, risk mitigation, and operational issues
• Monitor industry trends and updated margin rules to provide proactive counsel