ATTORNEY - BROKER-DEALER STATUS AND REGULATION

As an Attorney - Broker-Dealer Status and Regulation, your work may involve assisting with SEC rulemakings, Self-Regulatory Organization (SRO) rule filings, providing advice to senior management and other offices, and representing the agency in discussions with external parties. The successful applicant will display a high level of initiative and commitment towards completing assignments in a timely manner and will be independently motivated to achieve results. In this role as an Attorney - Broker-Dealer Status and Regulation, you will be responsible for: Assisting and providing support and advice regarding TM's oversight of broker-dealers and other market participants. Analyzing questions relating to broker-dealer status and applicable regulatory obligations that may arise across a range of business models and activities, including brokers, dealers and government securities dealers, "finders," "M&A Brokers," online platforms, crowdfunding intermediaries, technology providers and perso