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Associate General Counsel, VP

New York, NY, USA | SMBC Group

  • Industry:
    Financial Services
  • Position Type:
  • Functions:
    Legal / Compliance
  • Experience:
    1-3 years
    3-5 years
Job Description:
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We are looking for a dynamic attorney with one to four years of experience at a law firm or large financial institution to assist with representing the capital markets business. The position will report to the Deputy General Counsel and work closely with business groups and legal staff on transactional, litigation and regulatory matters. Excellent growth and carrer opportunity. Practice focuses on securities, derivatives and financial products.


Provide legal support to SMBC's U.S. broker dealer and swap dealer.

Broker dealer activities include debt capital markets, equity capital markets, fixed income sales and trading, equity sales and trading, investment banking, research and securitization.

Swap dealer activities include the full range of derivative products, focusing on interest rates, currencies and commodities.

Position involves transactional work with master agreements and loans as well as regulatory compliance counselling.

Position also involves significant exposure to broker dealer transactional and regulatory issues.

Additional duties will also be assigned.


Law degree from an accredited United States law school

Member in good standing of New York bar

Experience in financial products is necessary

Knowledge of derivatives business and regulation is desired, including integration of swaps into secured loans and title VII of the Dodd Frank Act

Knowledge of securities business and regulation is desired, including 33 Act and 34 Act

One to four years of prior legal experience

1-4 years of experience

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