Securities & Prime Brokerage Counsel
About The Position
We are seeking a Securities & Prime Brokerage Counsel to support financial-services clients on sophisticated securities trading, financing, and regulatory matters. This role is ideal for an attorney with hands-on experience advising on prime brokerage, margin lending, securities trading agreements, and related regulatory requirements. We are particularly interested in attorneys with clearly documented experience applying new or updated margin rules in transactional or advisory work. Experience supporting fixed income and synthetic prime brokerage agreements is highly valued.
Requirements
- 5+ years of experience in securities, prime brokerage, broker-dealer regulation, securities financing, derivatives, or related financial-services practices.
- Demonstrated, hands-on experience advising on prime brokerage and margin lending, including current or recent margin-rule developments.
- Strong experience with securities trading documentation involving multiple asset classes, including swaps, options, futures, equities, and/or fixed income products.
- Working knowledge of FINRA Rule 4210, Regulation T, Regulation U, and related margin and credit requirements.
- Experience advising on securities law and underwriting matters under the Securities Act of 1933 and the Securities Exchange Act of 1934.
- Excellent drafting, negotiation, communication, technology, and problem-solving skills.
- Juris Doctor (JD) degree and active bar admission in an applicable U.S. jurisdiction.
Nice To Haves
- Experience supporting fixed income and synthetic prime brokerage agreements is highly valued.
- Attorneys with clearly documented experience applying new or updated margin rules in transactional or advisory work.
Responsibilities
- Advising clients on prime brokerage, securities financing, margin lending, and securities-trading matters.
- Drafting, reviewing, negotiating, and interpreting prime brokerage agreements, fixed income prime brokerage agreements, synthetic prime brokerage agreements, and related trading documentation.
- Advising on margin and credit requirements, including FINRA Rule 4210, Regulation T, Regulation U, and recent regulatory updates.
- Supporting securities trading agreements across asset classes, including swaps, options, futures, equities, and fixed income instruments.
- Providing legal and regulatory guidance on securities underwriting and compliance under the Securities Act of 1933 and the Securities Exchange Act of 1934.
- Partnering with business, risk, credit, compliance, operations, and legal stakeholders to identify and manage transactional and regulatory risk.
- Working directly with prime brokerage counterparties, including hedge funds, trading firms, and other institutional clients.
Benefits
- health, dental, and vision insurance
- paid holidays and PTO
- flexible work arrangements
- professional development opportunities and tools
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
Ph.D. or professional degree
