Working on transactions involving customer purchases, sales or crossing of private securities in the secondary market
Advising on the range of services offered through the private markets trading desk, including direct share transfers, limited partnership liquidity, and SPV creation and trading, among others, as well as the operation and expansion of the desk and associated policies and procedures
Integration of the recently acquired Equity Zen business into the Firm’s Private Markets ecosystem
Reviewing and negotiating private securities transactional agreements and third-party platform documents
Advising on complex trading strategies by high net worth and ultra-high net worth clients
Advising on regulatory changes, technology and operational builds, policies and procedures, audits and regulatory exams and inquiries
Reviewing and interpreting relevant statutes, rules and regulations applicable to Wealth Management products and services
Maintaining form agreements and disclosures, as well as working on discrete projects and other matters as appropriate
Reviewing marketing materials and presentations
J.D. required.
A minimum of five (5) years relevant experience at a top-quality law firm and/or in-house experience, preferably with a financial services firm (including a bank, broker-dealer or private equity fund).
Experience with capital markets and securities legal work, in particular private equity or other illiquid asset classes.
Experience with co-investments, direct investments and/or secondary transactions in private securities.
Experience reviewing and interpreting statutes, rules and regulations, with knowledge of U.S. securities laws (including Securities Act of 1933, the Securities Exchange Act of 1934, and associated FINRA rules).
Experience on broker-dealer/FINRA matters a plus, along with related experience with applicable ERISA and tax issues.
Candidates should have experience in complex transactions and projects and must be able to work independently when needed and also collaborate with cross functional groups.