Director – Regulatory Attorney

New York, NY

Job Function:

The regulatory Attorney will have an opportunity to work on a wide range of legal regulatory matters including but not limited to security based swap dealer registration, Volcker, BSA AML and CFTC swap dealer issues, day-to-day bank regulatory issues and broker-dealer issues. The Legal Department is small and leanly-staffed legal and the candidate for this position must have the flexibility to address a diverse array of regulatory matters and the ability and judgment to operate independently.

The attorney will report to the Senior Counsel for regulatory matters and have responsibility within the New York Legal Department for providing advice on and coverage for certain regulatory matters.


The primary requirements and areas of responsibility include the following:

  • Providing legal advice to Front Office, Back Office and Risk Department;
  • Expertise and working knowledge in respect of one or more of the following bank regulatory matters, including matters related to:
  • a) Bank Holding Company Act;
  • b) Enhanced Prudential Standards;
  • c) Volcker Rule;
  • d) Title VII (CFTC Swap Dealer and SEC SBSD); and
  • e) Resolution Planning


  • Working knowledge of broker-dealer matters would be plus;
  • Managing external counsel, as necessary and appropriate;
  • Legal analysis for new products including contributions to the New Product Committee (including cross border analysis); and coordinating with legal and compliance colleagues in both New York and Europe on regulatory matters.


Contact Details:

Steve Cebel