Legal, GBM Equities Cash Attorney, Senior Legal Director/Managing Director
Location: New York, New York, United States
We work at the intersection of finance and law, providing counsel and advice that support activities across the firm. We handle litigation and arbitration, perform research and due diligence, aid in financing and legal filings, deal with contracts and intellectual property rights that show our commitment to clients, shareholders, and regulators. Whether you’re an experienced attorney or a quick learner with a strong interest in financial law coupled with critical thinking skills, our dynamic group might be right for you.
Your Role:
You will be a member of Global Markets Legal at a bulge bracket investment bank. You will work with your colleagues to address a broad and diverse range of legal and regulatory questions and issues that arise in connection with Goldman’s core equities sales and trading businesses and associated business functions in the U.S., Canada, and Latin America (“Americas”). In this role, you will be on the frontlines serving as a trusted advisor to the business and control-side colleagues and will have exposure to all aspects of a dynamic business. You will also play an important role in helping the firm navigate the evolving regulatory landscape and market structures in the Americas markets.
Your 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-traded 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 the 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.
Qualifications and Attributes:
- 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.
- 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.
- J.D. or comparable law degree from a competitive law school and licensed to practice law in at least one state.
Salary Range:
The expected base salary for this New York, New York, United States-based position is $300,000-$400,000. In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end.
Benefits:
Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience. A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here.