The role involves advising broker-dealers, investment banks, and other market participants on a broad range of securities regulatory issues.
Specific work includes advising on regulatory obligations under the Securities Exchange Act of 1934, FINRA rules, and related state and federal securities laws.
Key responsibilities encompass assisting clients with broker-dealer registration, licensing, and ongoing compliance; supporting internal investigations, regulatory examinations, and enforcement matters involving the SEC, FINRA, and state securities regulators; drafting and reviewing compliance policies and procedures (WSPs); analyzing regulatory implications for new products and business lines; structuring broker-dealer transactions (e.g., M&A, restructurings); monitoring regulatory developments; and preparing regulatory filings and client memoranda.
The position offers significant client contact and the opportunity to work on sophisticated, high-profile matters for leading financial institutions.
Candidates must have a substantive focus on broker-dealer regulation and preferably experience with regulatory examinations, inquiries, or enforcement matters.

Broker-Dealer Regulatory & Enforcement Associate

3+ PQE · September 3, 2026 (2 months ago)

McDermott Will & Schulte

3+ PQE · September 3, 2026 (2 months ago)

Salary

$235,000 - $455,000

Employment type

Full-time

Practice area

Banking · Broker-Dealer · Compliance/Regulatory · Enforcement

Location

New York City

Trusted recruiters

Work with a recruiter who has a real relationship with the hiring team and comes recommended by your peers.

Overview

The role involves advising broker-dealers, investment banks, and other market participants on a broad range of securities regulatory issues.
Specific work includes advising on regulatory obligations under the Securities Exchange Act of 1934, FINRA rules, and related state and federal securities laws.
Key responsibilities encompass assisting clients with broker-dealer registration, licensing, and ongoing compliance; supporting internal investigations, regulatory examinations, and enforcement matters involving the SEC, FINRA, and state securities regulators; drafting and reviewing compliance policies and procedures (WSPs); analyzing regulatory implications for new products and business lines; structuring broker-dealer transactions (e.g., M&A, restructurings); monitoring regulatory developments; and preparing regulatory filings and client memoranda.
The position offers significant client contact and the opportunity to work on sophisticated, high-profile matters for leading financial institutions.
Candidates must have a substantive focus on broker-dealer regulation and preferably experience with regulatory examinations, inquiries, or enforcement matters.

View this job posting on the firm's site.

Last updated: November 10, 2026