The attorney will advise on the structuring, distribution, marketing, diligence and ongoing support ... a bank, broker-dealer, investment advisory firm, private equity, real estate or hedge fund ...
The attorney will advise on the structuring, distribution, marketing, diligence and ongoing support ... a bank, broker-dealer, investment advisory firm, private equity, real estate or hedge fund ...
LPL Financial seeks an experienced attorney to join its corporate legal advice team as Vice ... This role focuses on providing strategic legal counsel to our broker-dealer and investment advisory ...
LPL Financial seeks an experienced attorney to join its corporate legal advice team as Vice ... This role focuses on providing strategic legal counsel to our broker-dealer and investment advisory ...
Senior Counsel, Brokerage & M&A Strategy (Town of Charlotte)
Sinclairville, NY · On-site
$115K - $156K/yr
LPL Financial seeks an experienced attorney to join its corporate legal advice team as Vice President, Assistant General Counsel, Brokerage. This role focuses on the broker-dealer and investment ...
Senior Counsel, Brokerage & M&A Strategy (Town of Charlotte)
Sinclairville, NY · On-site
$115K - $156K/yr
LPL Financial seeks an experienced attorney to join its corporate legal advice team as Vice President, Assistant General Counsel, Brokerage. This role focuses on the broker-dealer and investment ...
Regulatory Attorney, NYSE Regulation
Manhattan, NY · On-site
$175K - $225K/yr
... Attorney to join NYSE Regulation. Among other things, NYSE Regulation is responsible for monitoring ... addressing broker-dealer non-compliance with the NYSE exchanges' rules and applicable federal ...
Regulatory Attorney, NYSE Regulation
Manhattan, NY · On-site
$175K - $225K/yr
... Attorney to join NYSE Regulation. Among other things, NYSE Regulation is responsible for monitoring ... addressing broker-dealer non-compliance with the NYSE exchanges' rules and applicable federal ...
Regulatory Attorney, NYSE Regulation
New York, NY · On-site
$175K - $225K/yr
... Attorney to join NYSE Regulation. Among other things, NYSE Regulation is responsible for monitoring ... addressing broker-dealer non-compliance with the NYSE exchanges' rules and applicable federal ...
Regulatory Attorney, NYSE Regulation
New York, NY · On-site
$175K - $225K/yr
... Attorney to join NYSE Regulation. Among other things, NYSE Regulation is responsible for monitoring ... addressing broker-dealer non-compliance with the NYSE exchanges' rules and applicable federal ...
LPL Financial is seeking an experienced attorney to serve as Vice President, Assistant General ... The role centers on strategic legal advice for the broker-dealer, investment advisory businesses ...
LPL Financial is seeking an experienced attorney to serve as Vice President, Assistant General ... The role centers on strategic legal advice for the broker-dealer, investment advisory businesses ...
Corporate Attorney (Crypto)
Wyoming, OH · On-site
$177 - $239/hr
Lawyers on Demand, a Consilio Company, is one of the largest and fastest growing global legal ... Address exchange and broker-dealer regulatory issues * Provide guidance on licensing and regulatory ...
Corporate Attorney (Crypto)
Wyoming, OH · On-site
$177 - $239/hr
Lawyers on Demand, a Consilio Company, is one of the largest and fastest growing global legal ... Address exchange and broker-dealer regulatory issues * Provide guidance on licensing and regulatory ...
$177 - $239/hr
Lawyers on Demand, a Consilio Company, is one of the largest and fastest growing global legal ... Address exchange and broker-dealer regulatory issues * Provide guidance on licensing and regulatory ...
$177 - $239/hr
Lawyers on Demand, a Consilio Company, is one of the largest and fastest growing global legal ... Address exchange and broker-dealer regulatory issues * Provide guidance on licensing and regulatory ...
Litigation - Associate General Counsel
Chicago, IL · On-site
$250K - $330K/yr
About your team Interactive Brokers is looking for a motivated and talented litigation attorney ... broker-dealer or FCM; • Would prefer "on-your-feet" experience in court or arbitration ...
Litigation - Associate General Counsel
Chicago, IL · On-site
$250K - $330K/yr
About your team Interactive Brokers is looking for a motivated and talented litigation attorney ... broker-dealer or FCM; • Would prefer "on-your-feet" experience in court or arbitration ...
This attorney must be experienced in ISDA architecture/documentation, U ... S. securities law, broker-dealer regulations, Exchange Act rules and some Title VII. He or she must ...
New
This attorney must be experienced in ISDA architecture/documentation, U ... S. securities law, broker-dealer regulations, Exchange Act rules and some Title VII. He or she must ...
New
Head of Legal & Compliance, PIMCO Investments LLC
Manhattan, NY · On-site
$138K - $186K/yr
... for PI's broker-dealer and distribution activities, with a focus on FINRA compliance, supervision, and related regulatory obligations. You will partner closely with attorneys, compliance ...
Head of Legal & Compliance, PIMCO Investments LLC
Manhattan, NY · On-site
$138K - $186K/yr
... for PI's broker-dealer and distribution activities, with a focus on FINRA compliance, supervision, and related regulatory obligations. You will partner closely with attorneys, compliance ...
Head of Legal & Compliance, PIMCO Investments LLC
New York, NY · On-site
$137K - $184K/yr
... for PI's broker-dealer and distribution activities, with a focus on FINRA compliance, supervision, and related regulatory obligations. You will partner closely with attorneys, compliance ...
Head of Legal & Compliance, PIMCO Investments LLC
New York, NY · On-site
$137K - $184K/yr
... for PI's broker-dealer and distribution activities, with a focus on FINRA compliance, supervision, and related regulatory obligations. You will partner closely with attorneys, compliance ...
Head of Legal & Compliance, PIMCO Investments LLC
Manhattan, NY · On-site
$265 - $305/hr
... for PI's broker-dealer and distribution activities, with a focus on FINRA compliance, supervision, and related regulatory obligations. You will partner closely with attorneys, compliance ...
Head of Legal & Compliance, PIMCO Investments LLC
Manhattan, NY · On-site
$265 - $305/hr
... for PI's broker-dealer and distribution activities, with a focus on FINRA compliance, supervision, and related regulatory obligations. You will partner closely with attorneys, compliance ...
Product Counsel, Meridian
San Francisco, CA · On-site
$260 - $325/hr
Advise on broker-dealer obligations end-to-end, including FINRA rules, Regulation Best Interest and ... You can earn trust with lawyers, compliance professionals, engineers, operators, and commercial ...
Product Counsel, Meridian
San Francisco, CA · On-site
$260 - $325/hr
Advise on broker-dealer obligations end-to-end, including FINRA rules, Regulation Best Interest and ... You can earn trust with lawyers, compliance professionals, engineers, operators, and commercial ...
Product Counsel, Meridian
Manhattan, NY · On-site
$260 - $320/hr
Advise on broker-dealer obligations end-to-end, including FINRA rules, Regulation Best Interest and ... You can earn trust with lawyers, compliance professionals, engineers, operators, and commercial ...
Product Counsel, Meridian
Manhattan, NY · On-site
$260 - $320/hr
Advise on broker-dealer obligations end-to-end, including FINRA rules, Regulation Best Interest and ... You can earn trust with lawyers, compliance professionals, engineers, operators, and commercial ...
Product Counsel, Meridian
San Francisco, CA · On-site
$248 - $303/hr
Advise on broker-dealer obligations end-to-end, including FINRA rules, Regulation Best Interest and ... You can earn trust with lawyers, compliance professionals, engineers, operators, and commercial ...
Product Counsel, Meridian
San Francisco, CA · On-site
$248 - $303/hr
Advise on broker-dealer obligations end-to-end, including FINRA rules, Regulation Best Interest and ... You can earn trust with lawyers, compliance professionals, engineers, operators, and commercial ...
LPL Financial seeks an experienced attorney to join its corporate legal advice team as Vice ... The team focuses primarily on LPL's broker-dealer business but also provides support to the ...
LPL Financial seeks an experienced attorney to join its corporate legal advice team as Vice ... The team focuses primarily on LPL's broker-dealer business but also provides support to the ...
LPL Financial seeks an experienced attorney to join its corporate legal advice team as Vice ... The team focuses primarily on LPL's broker-dealer business but also provides support to the ...
LPL Financial seeks an experienced attorney to join its corporate legal advice team as Vice ... The team focuses primarily on LPL's broker-dealer business but also provides support to the ...
Associate Attorney
New York, NY · On-site
The ideal candidate will have experience with the financial services industry, broker-dealer/securities law, FINRA and SEC regulatory investigations and enforcement proceedings, strong interpersonal ...
Associate Attorney
New York, NY · On-site
The ideal candidate will have experience with the financial services industry, broker-dealer/securities law, FINRA and SEC regulatory investigations and enforcement proceedings, strong interpersonal ...
Financial Services Associate Attorney
Los Angeles, CA · On-site
$260K/yr
Financial Services Associate Attorney Locations: Boston, MA | Los Angeles, CA | New York, NY ... broker-dealer regulation, commodities regulation, global asset management regulation, or digital ...
Quick apply
Financial Services Associate Attorney
Los Angeles, CA · On-site
$260K/yr
Financial Services Associate Attorney Locations: Boston, MA | Los Angeles, CA | New York, NY ... broker-dealer regulation, commodities regulation, global asset management regulation, or digital ...
Broker Dealer Attorney information
See salary details
$30.5K - $35.5K
16% of jobs
$35.5K - $40.4K
6% of jobs
$41.6K is the 25th percentile. Wages below this are outliers.
$40.4K - $45.4K
14% of jobs
$45.4K - $50.3K
8% of jobs
$50.3K - $55.3K
1% of jobs
$55.3K - $60.2K
1% of jobs
The median wage is $62.4K / yr.
$60.2K - $65.2K
9% of jobs
$65.2K - $70.1K
15% of jobs
$72.2K is the 75th percentile. Wages above this are outliers.
$70.1K - $75.1K
13% of jobs
$75.1K - $80K
6% of jobs
$80K - $85K
11% of jobs
$30.5K
$59.1K
$85K
How much do broker dealer attorney jobs pay per year?
What is a broker dealer attorney?
What are the key skills and qualifications needed to thrive as a broker dealer attorney, and why are they important?
What are some common challenges broker dealer attorneys face when navigating regulatory compliance?
What is the difference between Broker Dealer Attorney vs Securities Compliance Officer?
| Aspect | Broker Dealer Attorney | Securities Compliance Officer |
|---|---|---|
| Credentials | J.D. degree, State Bar license, securities law certifications | Degree in finance, law, or related field; securities compliance certifications often preferred |
| Work Environment | Law firms, in-house legal teams, regulatory agencies | Financial firms, broker-dealers, investment firms |
| Employer & Industry | Legal service providers, broker-dealers, financial institutions | Broker-dealers, investment firms, financial services companies |
| Search & Comparison | Legal expertise in securities laws, regulatory compliance, legal advice | Regulatory adherence, internal compliance monitoring, risk management |
While both roles focus on securities regulations, a Broker Dealer Attorney provides legal advice and handles legal matters related to broker-dealer operations, whereas a Securities Compliance Officer manages ongoing compliance programs within financial firms to ensure adherence to regulations.
What cities are hiring for Broker Dealer Attorney jobs?
Cities with the most Broker Dealer Attorney job openings:
What states have the most Broker Dealer Attorney jobs?
States with the most job openings for Broker Dealer Attorney jobs include:
What job categories do people searching Broker Dealer Attorney jobs look for?
The top searched job categories for Broker Dealer Attorney jobs are:

Key responsibilities
Advise on the structuring, distribution, marketing, diligence, and ongoing support of alternative investment and private markets products and private securities transactions.
Review and negotiate offering documents, distribution agreements, servicing agreements, and client account documentation related to alternative investment products.
Interpret relevant statutes, rules, and regulations applicable to wealth management products and services.
Morgan Stanley rating
8.3
Based on 157 frontline employees who took The Breakroom Quiz
36th of 154 rated financial services
Job description
Morgan Stanley Wealth Management seeks an Executive Director level attorney to support its Alternative Investments and Private Markets platforms. The attorney will advise on the structuring, distribution, marketing, diligence and ongoing support of alternative investment and private markets products and private securities transactions. The position will be based at Wealth Management's headquarters in Purchase, NY.
This is a highly visible role within a sophisticated and fast-growing area of Morgan Stanley Wealth Management. The successful candidate will advise on complex products and transactions involving alternative investment funds, feeder funds, private equity, private credit, hedge funds, co-investments, direct private securities offerings, pre-IPO companies, and other private markets opportunities. The role requires sound legal judgment, strong commercial awareness, and the ability to provide practical, risk-based guidance in a dynamic business and regulatory environment.
The attorney will join a highly collaborative team of alternative investments and private markets attorneys and will report to the Managing Director responsible for legal coverage of these strategically important businesses. This role offers significant exposure to senior legal and business leadership and the opportunity to advise on some of Morgan Stanley Wealth Management's most sophisticated offerings, transactions, and initiatives. The successful candidate will also be a member of a broader group of advisory attorneys covering Morgan Stanley Wealth Management's products and services, and will work closely with legal colleagues across Wealth Management and other Morgan Stanley businesses.
Why This Role Is Compelling This role offers an opportunity to work at the intersection of law, business strategy, product innovation, and evolving regulation in one of the most important growth areas in wealth management. The attorney will have meaningful exposure to senior stakeholders and will help shape how complex alternative investment and private markets products are reviewed, structured, distributed, monitored, and supported across Morgan Stanley's platform. The following is an illustrative, non-exhaustive list of the types of matters the successful candidate will handle: > The distribution of complex fund or feeder fund offerings, including drafting and negotiating placement agent or other distribution agreements, custom fund offerings, servicing agreements, review of offering documents (e.g., Private Placement Memoranda and Limited Partnership Agreements) and ongoing fund communications
> Working on transactions involving the distribution of co-investments, secondaries and direct private securities offerings. > Advising on legal obligations arising in connection with investor relations, fund raising, distribution, marketing, and investing activities. > Provide legal advice on marketing materials and investor presentations (including track record data).
> Managing outside counsel on offering launches and other projects. > Reviewing early stage transaction documents (NDAs, term sheets, agreements). > Negotiating client account documentation related to alternative investment products and services and ongoing corporate communications.
> Interpreting relevant statutes, rules and regulations applicable to wealth management products and services. > Maintaining form agreements as well as working on discrete projects, regulatory inquiries, fund maintenance and other matters as appropriate. Experience/Qualifications > J.D
required. > A minimum of 5+ years of relevant experience at a top tier law firm and/or in-house, preferably with a financial services firm (including a bank, broker-dealer, investment advisory firm, private equity, real estate or hedge fund). > Strong experience with alternative investments and/or private markets.
> Experience reviewing and interpreting statutes, rules and regulations, with knowledge of U.S. securities laws (including Investment Advisers Act of 1940, Securities Act of 1933 (including Regulation D), the Securities Exchange Act of 1934, and the Investment Company Act of 1940). > Experience with co-investments, direct investments and/or secondary transactions in private securities is a plus
> Experience with broker-dealer/FINRA matters is a plus, along with related experience with applicable ERISA, anti-money laundering, data protection, and tax issues. > Candidates should have experience in complex transactions and projects and must be able to work independently when needed and also collaborate with cross functional groups. WHAT YOU CAN EXPECT FROM MORGAN STANLEY: At Morgan Stanley, we raise, manage and allocate capital for our clients - helping them reach their goals.
We do it in a way that's differentiated - and we've done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered.
Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work.
To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser. Expected base pay rates for the role will be between $165,000 and $275,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs
Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents. Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.
For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.
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About Morgan Stanley
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Since our founding in 1935, Morgan Stanley has been committed to serving local and global communities by being a market leader in Investment Banking, Securities, Investment Management and Wealth Management services. Our belief that capital can work to benefit all of society inspires us to put our clients first, lead with exceptional ideas, hold our business to high ethical standards, and give back to communities around the world through philanthropy and public works. We have a smart casual dress code and operate under a philosophy that balances work with your personal life. Our people's talent, passion, and expertise is the fuel on which our organization runs, therefore, our people are our greatest asset. Diversity and inclusiveness is a critical component for our success and it is our priority to continue building a firm that values the unique background and identity of every one of our employees, thus enabling our people to bring their full, and best selves to work each day. Teamwork is the essence of our approach, and so are the values of integrity, excellence, and enabling our people to achieve at the highest levels. We invite you to learn more about our commitment to diversity and serving our community.
Industry
Finance and insurance and software development
Company size
10,000+ Employees
Headquarters location
New York, NY, US