Attorney
August 24
🏢 In-office - Manhattan
Description
• We are looking for an attorney to join our Legal and Compliance team. • You will primarily help facilitate regulatory support for our trading desks by providing legal advice and developing compliance control frameworks. • The responsibilities of this role primarily lie in bringing a nuanced understanding of existing broker-dealer regulatory requirements, with a particular focus on issues impacting trading behavior, and staying abreast of relevant regulatory developments. • Day-to-day responsibilities will include interpreting, understanding, and advising on regulations affecting the business, collaborating with business and other control functions to ensure that the applicable legal risks are managed properly, providing time sensitive advice questions related to regulatory interpretation and compliance controls as they arise, working with trading desks to provide legal and compliance advice on new trading initiatives, developing and drafting policies and procedures, working with relevant teams to develop compliance control processes and frameworks, drafting comment letters and participating in other strategic regulatory engagement, and liaising with external counsel where necessary.
Requirements
• 8+ years of experience in financial services, including meaningful experience as a member of in-house team at a financial institution. • Strong understanding and practiced familiarity with FINRA and SEC rules and regulations, particularly those applicable to trading concepts (e.g. Frontrunning, Best Execution, Market Access, Regulation SHO), the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodities Exchange Act, as well as rules promulgated by options exchanges, the CME and other regulatory bodies. • Ability to distill complex legal concepts into simple, actionable recommendations and provide guidance on under time-sensitive conditions. • Has pragmatic commercial acumen and impeccable business judgment • Able to handle competing priorities and work effectively in a challenging, fast-paced and often ambiguous environment • Self-starter who can work independently while establishing strong cross-functional partnerships • Can demonstrate project planning and organizational skills, especially with hands-on deal management • J.D., New York bar admission (or is able to qualify)
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