International Banking Client
Office Status: Hybrid
Responsibilities:
- Moderate experience providing legal and compliance coverage to an origination, structuring, sales and/or trading desk at a broker/dealer that makes markets in one or more securitized products (e.g., ABS, CLOs, or CMBS) or structured credit transactions
- A functional knowledge of the US fixed income and derivative trading regulatory framework; the ’33 Act and the ’34 Act; FINRA, SEC, and broker dealer regulations and US bank regulations
- Ability to readily analyze complex transactions and assess an array of compliance considerations including information barriers, conflicts of interest, cross-border issues, and market conduct/market abuse
- An understanding of securitized products are how they are traded in the primary and secondary market
- Ability to provide real-time guidance to the GFCT platform on compliance matters including regulatory requirements, a Juris Doctor degree from an accredited institution