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Assistant General Counsel, Broker - Dealer Attorney
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- The New York Life Office of General Counsel is seeking a strategic and practical retail broker-dealer attorney to join the legal team supporting New York Life's Wealth Management division, consisting of NYLIFE Securities, a registered introducing broker-dealer, and Eagle Strategies, a registered retail investment adviser, both wholly-owned subsidiaries of New York Life Insurance Company.
- Advise on applicable financial services related laws, rules, and regulations, including FINRA Rules, the Securities Exchange Act of 1934, Regulation Best Interest, and state securities laws and regulations applicable to FINRA member firms
- Provide strategic legal guidance and support on a wide variety of broker-dealer issues, including supervision, sales practices, conflicts of interest, registration, operations, and compliance
- Collaborate with business, compliance and legal teams to ensure compliance with all applicable laws and regulations and corporate policies applicable to retail broker-dealer products and services
- Draft, review, and provide guidance on required regulatory and transactional documents, including Form CRS, customer account agreements, intermediary selling and servicing agreements, client profile forms, and best interest disclosures
Expired 7 days agoInactive Job
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