New

New York, Washington, DC - Investment Management- Financial Institutions Junior / Midlevel Associate

Morgan, Lewis & Bockius LLP
$225,000 to $435,000.
parental leave, paid time off, sick time, 401(k)
United States, D.C., Washington
Sep 11, 2026
Seeking a junior/midlevel associate with one to four years of large law firm experience or equivalent experience in-house or with a regulatory organization to join our Investment Management - Financial Institutions practice, with a focus on the regulation of broker-dealers and other securities markets participants. The successful applicant must: Possess one to four years of experience with the full range of issues involving broker-dealer regulation, including issues affecting retail broker-dealers and institutional, private wealth, and private client firms. Experience with the compliance and regulatory obligations applicable to broker-dealers arising under federal and state securities laws (with a focus on the Exchange Act, but with knowledge and understanding of key issues arising under the Securities Act, Advisers Act, and Investment Company Act) and rules and regulations of the SEC, FINRA, and other self-regulatory organizations. Experience with matters such as broker and dealer federal and state registration requirements (and exemptions), FINRA and state licensing exams, sales practice issues (e.g., Regulation Best Interest), marketing and communications issues (e.g., digital communications, social media, "off-channel" communications), trading and market structure (e.g., best execution, payment for order flow, clearing arrangements), supervisory and compliance structures, including automation, outsourcing, and development of policies and procedures, and recordkeeping. Experience with advising clients in M&A and other change-of-control transactions, employee compensation and disciplinary matters, SEC and FINRA examinations, and enforcement defense and litigation matters. Familiarity with the businesses of, and a general understanding of the regulatory regimes applicable to, other market participants under federal and state securities laws and regulations, in particular investment advisers, banks, registered investment companies, private investment funds, and derivatives market intermediaries. Be willing to engage proactively and collaboratively with various aspects of financial institutions regulatory practice, including regulatory compliance, product design and implementation, and securities examinations and enforcement. Have comparable law firm experience and/or experience working at a financial institution or regulator. Have strong writing, communication, and analytical skills. Have excellent academic credentials. Be an active member of the District of Columbia and/or New York bar. Morgan Lewis is not currently accepting resumes from search firms for this position. If you are a search firm, you will not be compensated in any way for your submission of a candidate, even if Morgan Lewis hires said candidate. For positions in New York and Washington, DC, the salary wage range for this job posting is $225,000 to $435,000. The base salary or hourly wage range for this position will be determined during the interview process and will vary based on multiple factors, including but not limited to prior experience, relevant expertise, current business needs, and market factors. Final salary or hourly wages offered may be outside of this range based on other reasons and individual circumstances. Additionally, salary or hourly wages may be only part of the total compensation package. The total compensation package for this position may also include a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave), dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment. If hired, employee will be in an "at-will position" and the firm reserves the right to modify base salary (as well as any other discretionary payment or compensation or benefit program) at any time, including for reasons related to individual performance, firm or individual department/team performance, and market factors.