Associate General Counsel - Director

About Daiwa Capital Markets America Inc.:

Incorporated in 1964, Daiwa Capital Markets America Inc. (“DCMA”) is a New York-based registered securities broker-dealer, a futures commission merchant, a primary dealer of U.S. Treasury securities, and a member of the New York Stock Exchange and other major U.S. exchanges. Our main focus is on the sales and trading of Japanese, Asian, and U.S. equities, fixed income instruments, financial futures, and investment banking for institutional customers. DCMA’s ultimate parent company is Daiwa Securities Group Inc., one of the largest brokerage and financial services groups in Japan.

Position Summary:

DCMA’s Legal team is seeking an Associate General Counsel to advise and support the sales and trading teams within the Fixed Income and Equities divisions in New York. This director-level position will also lead and oversee the firm’s trading documentation and negotiations at the firm, with an eye toward enhancement, improvement, and efficiency. This role reports to the General Counsel and Corporate Secretary, and in this position, you will be a key member of a collaborative and dynamic team that values integrity and excellence.  

Responsibilities:

• Negotiate a variety of trading agreements such as Master Repurchase Agreements, Master Securities Lending Agreements, sponsored repo agreements, collateral agreements, custody agreements, futures and options agreements, give-up agreements, MSFTAs and ISDA Master Agreements. 
• Collaborate closely with business, compliance, credit/risk, and operations to facilitate new and existing business while appropriating and managing legal risk.
• Act as the primary subject matter expert on all transactional documentation and provide advice to internal /external stakeholders on all matters pertaining to transactional documentation.
• Stay up to date on all relevant laws and regulations to ensure compliance.
• Advise on international and domestic laws & regulations issued by the SEC, CFTC, FINRA, EMIR, CIMA and various other regulatory entities and their impact on investment instruments actively traded by the firm.  
• Provide guidance on new products and businesses.
• Provide back-up sales and trading legal coverage to fixed income, repo and securities lending desks.
• Work on range of matters relating to the business including participating in internal and external working groups.

Qualifications:

• 7+ years of corporate legal experience and/or previous in-house experience valuable
• Top academic and professional credentials.
• Experience with financial services clients, ideally institutional broker-dealers in cross-border context, with a willingness to learn new areas. 
• Admission to New York bar in good standing.
• Demonstrated ability to handle matters independently. 
• Practice experience with sales, trading, and distribution of equities; securities law and regulations under `33 and `34 Acts and FINRA and other exchanges; operational, custodial, settlement, and clearing matters; investment banking, research preferred.  

What’s In It for You

Daiwa Capital Markets America Inc. has a vibrant company culture made up of a diverse team of professionals. We seek to foster an atmosphere in which our employees understand, respect, and inspire each other. We will continue to build a culture that encourages everyone at DCMA to take pride in their work. How we work — individually, with each other, and with our communities — is just as important as what we do and shapes who we are as an organization.

Our people are our most important asset, and as a result, we offer a competitive and robust total rewards package which includes, but is not limited to: 

• Competitive Benefits Package (Medical, Dental and Vision)
• Ancillary Insurance (Basic Life Insurance, AD&D Insurance, and Short & Long-term Disability)
• Flexible Spending Accounts (FSA)
• Employee Assistance Program (EAP)
• Comprehensive health and wellness benefits
• Parental Leave
• Family building benefits
• 401(k) with company match 
• Paid Time Off and holidays
• Professional development, educational assistance and training programs
• Community Engagement Programs

DCMA has a hybrid work program in place, with opportunities for remote work depending on the nature of the role and needs of your department. This was implemented to provide operational efficiency while simultaneously giving employees flexibility. At a minimum, employees are expected to work in the office three days per week.

DCMA provides equal employment opportunities for all applicants and employees. We are committed to providing a work environment that is free of discrimination and harassment. DCMA prohibits discrimination based on race, color, religion, gender identity, national origin, sexual orientation, age, disability, military or veteran status, or other attributes protected under applicable federal, state, or local laws.