18 days old
  • Job Type
    Corporate Counsel, Law Firm Partner, Law Firm Associate
  • Job Status
    Full Time

The Charlotte office of Moore & Van Allen is currently seeking an experienced Broker-Dealer attorney. Qualified candidates must have a JD, excellent academic credentials and four or more years of broker-dealer experience. The ideal candidate will have extensive experience with broker-dealer registration requirements and FINRA rules; regulatory approval and broker formation processes and FINRA new and continuing membership applications; drafting and implementing broker-dealer compliance policies and procedures; regulatory inquiries and internal compliance and “due diligence” reviews; SEC, FINRA, and CFTC investigations and enforcement proceedings; and compliance with applicable state and federal securities laws, SEC regulations, and AML laws. Moore & Van Allen offers a competitive compensation package which includes full benefits.


Posted: 2020-10-09 Expires: 2020-11-08

With approximately 300 attorneys, a long history of civic service, and noted national, regional and local clients, Moore & Van Allen ranks among the Southeast's preeminent and fastest growing full-service law firms and ranked on the American Lawyer's 2019 Law 200 ranking. The Firm is headquartered in Charlotte, North Carolina, with branch offices in Research Triangle, North Carolina and Charleston, South Carolina. Our attorneys provide counsel to international banks and manufacturers, energy leaders, health care and technology companies, and more. 

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Broker-Dealer Attorney

Moore & Van Allen, PLLC

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