Sr. Managing Counsel- Broker Dealer

Job Description

A highly experienced attorney with a background providing legal advice to a financial services firm.  A Senior Managing Counsel is highly skilled and competent in his or her area of practice, is seen as an expert in that area and has leadership skills. This Senior Managing Counsel position will provide senior level business advice and counsel to BNY Mellon’s Pershing LLC and affiliated business units.  The individual will also manage critical legal and regulatory issues where he/she will advise business units and provide senior level support on the regulatory issues affecting our broker dealers and registered investment advisers.  In addition, this individual will provide primary legal support to the Compliance Department and advise on AML matters and issues that are core to Pershing's monitoring responsibilities.  In addition, this individual will be tasked with analysis of new regulatory requirements and actively participating in crafting the road map, along with business units, to successfully implement processes to comply with such regulations.  Management of other team members and related skills are important.  Other key areas of responsibility include participation in senior level working groups and steering committees that are part of the firm's governance structure as well as mechanisms for creating additional opportunities for risk mitigation.   This individual will possess excellent communication and interpersonal skills.  This individual will be expected to interact with the senior most level of management within the firm on critical issues.





  • Legal degree with 15+ years experience
  • Licensed to practice law in NY and (NJ limited in house counsel license)
  • 15+ years’ experience in financial services and specific experience with a broker-dealer, registered investment advisor, law enforcement, or a law firm specializing in financial services and/or a regulator
  • Thorough understanding of securities regulation and compliance issues

BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer.
Minorities/Females/Individuals With Disabilities/Protected Veterans.

Primary Location: United States-New Jersey-Jersey City
Internal Jobcode: 85117
Job: Legal
Organization: Legal Affairs-HR06241
Requisition Number: 1910646