Looking for experienced attorney (5-10 years out of law school) to provide support for the global investment research department (GIR) in the Americas primarily, and globally as needed. Experience supporting research department and knowledge of the FINRA research rules and the US Research Settlement would be helpful, but not required. Either IPO experience (given the regulatory focus on research-investment banking personnel conflicts) or Reg FD/insider trading litigation experience would be a plus. Must have background and familiarity with US securities laws.
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• Person would work closely with Compliance officers supporting research in region and globally, GIR management, and other members of the Legal Department.
• Position would provide legal counsel to support and advance GIR activities, including:
o Understanding and providing legal advice on laws and regulations impacting research.
o Providing legal support for research issues arising in connection with investment banking activities (e.g., research blackout periods resulting from securities offerings, investor activities related to IPOs)
o Providing legal support for research issues arising in connection with securities division interaction (e.g., sector meetings with traders, morning calls and “over the top” announcements, client link and message board communications)
o Providing legal support for general research issues (e.g., policy breaches, licensing of analysts, prohibitions on activities in certain regions for non-registered analysts, regulatory reviews of research activities)
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