Keith Lurie
General Counsel @Vision Financial Markets Llc
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WORK HISTORY
General Counsel @Vision Financial Markets Llc
Stamford, CT, US
Serve as General Counsel to a privately held broker-dealer and clearing firm, advising the CEO and senior leadership on legal, regulatory, and strategic matters across capital markets, clearing, and correspondent brokerage activities.Provide end-to-end legal oversight for SEC and FINRA regulatory matters, examinations, and inquiries; negotiate and manage complex clearing, trading, technology, and vendor agreements; and support governance, supervisory, and risk management frameworks in close partnership with Compliance and Operations.Advise on new products, business initiatives, and market structure considerations, including regulatory developments impacting execution, clearing, and correspondent brokerage arrangements.
EDUCATION
Cardozo School of Law
Doctor of Law (J.D.)
Brandeis University
B.A. & M.A., History
SKILLS
ABOUT KEITH LURIE
Attorney and General Counsel with deep experience operating at the intersection of law, compliance, and enterprise risk across global capital markets platforms. Currently serving as General Counsel to a privately held broker-dealer, advising executive leadership on legal, regulatory, and strategic matters impacting market structure, execution, clearing, and trading activities.Brings extensive experience leading large-scale compliance and risk functions at major financial institutions, with responsibility spanning investment banking, capital markets, research, and trading businesses. Deep expertise in information barriers, conflicts management, regulatory examinations, and supervisory frameworks, and a proven ability to engage constructively with regulators and senior business leaders.Known for sound judgment in complex, high-stakes environments, aligning legal and regulatory requirements with business strategy, strengthening governance and control frameworks, and fostering a strong culture of accountability and transparency. Combines legal rigor with practical commercial insight to help organizations scale responsibly while managing risk.
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