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Legal – Vice President/Senior Legal Director – GBM Equities Cash Attorney
| Company | Goldman Sachs |
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| Location | New York, NY, USA |
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| Salary | $170000 – $270000 |
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| Type | Full-Time |
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| Degrees | JD |
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| Experience Level | Expert or higher |
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Requirements
- Strong sense of ownership and responsibility; thoughtful and detail-oriented
- Self-starter; capable of building and leveraging an internal network of resources and support
- Strong legal and business judgment, communication, writing and analytical skills
- J.D. or comparable law degree from a competitive law school and licensed to practice law in at least one state
Responsibilities
- Provide legal and regulatory advice to key stakeholders in the equities businesses pertaining to sales and trading operations of equities products including stocks, exchange-listed options, convertibles, American Depository Receipts (“ADRs”), exchange trades funds (“ETFs) and mutual fund shares, in Goldman’s U.S., Canadian and Latin American equities markets operations.
- Serve as primary legal advisor in connection with development of new businesses, services and products and partner with key stakeholders to help understand and manage the potential legal and regulatory risks
- Assist in advocacy on a broad range of regulatory rulemaking from various oversight agencies including the Securities and Exchange Commission, Financial Industry Regulatory Authority (“FINRA”) and self-regulatory organizations (“SROs”) such as the New York Stock Exchange and Chicago Board Options Exchange. Also assist in advocacy in connection with legislative rulemaking and policies.
- Collaborate with other control-side teams, including compliance, risk management, controllers operations and engineering to address relevant legal and regulatory requirements impacting equities sales and trading and developing policies and best practices.
- Assist legal and compliance teams in managing litigation and regulatory matters, internal and external audits and examinations.
Preferred Qualifications
- 10+ years of relevant experience working with or at a financial institution, including relevant experience at a law firm, is preferred
- Knowledge of the U.S. securities law statutes and related regulations, such as Regulation NMS, Regulation ATS, Sections 13 and 16, Rule 15c3-5, Regulation SHO, FINRA and SRO rules is strongly preferred
