Sr. Regulatory Advisory Attorney recruitment
Product coverage includes fixed income (including government, agency and private issues), derivatives, equities, futures, sales and trading, repo financing, debt and equity capital markets, structured products, lending, bank regulatory, cross-border, Research, Information Barriers, and electronic trading.
Our regulators include SEC, FINRA, CFTC. Position will also advise on regulatory developments, including Dodd Frank implementing rules, and other SEC, CFTC and SRO developments. The attorney will be an active participant in the new product process, will provide day to day advice and may also assist on regulatory inquiries and exams, as needed.
Requirements:
An attorney with top academic credentials who has at least 7 years of legal and/or regulatory experience in the securities industry, including significant experience with SEC, FINRA and ideally CFTC rules governing broker-dealers and FCMs.
Familiarity with Dodd Frank also necessary
Strong organizational, analytical, and writing skills
Solid judgment coupled with the ability to evaluate complex legal and business issues
A strong communicator who can establish trust and credibility throughout the organization.