Regulatory Counsel
Duties and Responsibilities
We are seeking a versatile regulatory lawyer who is experienced, intelligent, eager, personable, independent, assertive and able to work in a fast-paced, time-sensitive and stressful financial and technological environment.
The Regulatory Counsel would serve as a member of a dedicated, newly-formed regulatory team generally responsible for performing and/or overseeing Firm's role as a self-regulatory organization, working with other SROs on industry-wide initiatives, interacting with Firm's own regulators in connection with inspections, examinations, inquiries and ad-hoc requests, and preparing filings with the Securities and Exchange Commission (SEC) relating to proposed rule and fee changes.
The Regulatory Counsel’s primary responsibilities would center on the preparation of rule and fee filings, and related interactions with SEC staff, though not to the exclusion of other responsibilities as a member of the Regulatory team.
The position will report to the Head of the Regulatory and Compliance group within the Legal and Compliance department.
Requirements and Preferred Qualifications
Following are the prerequisites for any candidate:
- An undergraduate degree from a 4-year institution;
- A Juris Doctorate from an accredited law school; and
- Member in good standing of a state bar.
In addition, the ideal candidate would have some combination of the following experiences, qualifications and skills:
Professional Experience:
- Legal role with the Division of Trading and Markets at the SEC
- Legal role with a self-regulatory organization, particularly one that is also a national securities exchange
- Experience as an attorney in a law firm securities regulatory practice, particularly advising clients that are self-regulatory organizations and exchanges
Substantive Experience:
- Firm grasp of regulatory requirements relating to the trading of equity securities
- Experience with the self-regulatory organization rule filing process, including direct interactions with staff of the Division of Trading and Markets at the SEC
Technical Skills:
- Excellent technical writing skills
- Excellent verbal communication and presentation skills
- Excellent analytical skills
- Excellent advocacy skills
- Excellent problem solving skills
“Soft Skills”:
- Attention to detail
- Judgment and independence
- Creativity and initiative
- Ability to work as part of a team
- Willingness to learn
- Network of industry peers
Salary
The position will pay a competitive salary plus opportunity for bonus compensation.
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