Senior Attorney - Masis Professional Group : Job Details

Senior Attorney Job Description:

Masis Professional Group has an immediate need for a Senior Attorney for a very well established and highly reputable law firm New York City area on a full-time direct hire basis. The ideal candidates will have extensive knowledge of FINRA rules and regulations, focusing on providing legal advice and support related to securities industry compliance, investigations, and litigation, often with significant experience handling complex cases involving broker-dealer activity and potential regulatory violations.

Senior Attorney Responsibilities:

Legal Counsel and Advice:

• Providing legal guidance on a wide range of FINRA compliance issues such as suitability, market manipulation, customer protection, advertising, and recordkeeping to internal stakeholders within the firm.

Regulatory Investigations:

• Representing clients during FINRA investigations, including reviewing documents, preparing responses to inquiries, and attending interviews with regulators.

Litigation Support:

• Assisting with litigation matters related to FINRA disputes, including drafting legal briefs, preparing for hearings, and representing clients before FINRA arbitration panels.

Compliance Review and Training:

• Conducting compliance reviews of broker-dealer operations to identify potential regulatory risks, and developing and delivering training programs on FINRA rules and regulations.

Policy Development:

• Contributing to the development and implementation of internal policies and procedures to ensure compliance with FINRA rules.

Senior Attorney Qualifications:

• Seeking candidates that have 8+ years of securities/FINRA experience
• Must be admitted to practice in New York