Regulatory Counsel - Quant Trading Firm
Our client, a leading quantitative trading firm, is looking to bring on a Regulatory Counsel to join its in-house team. The team is seeking to bring somebody on who can advise the internal team on regulatory requirements regarding securities, commodities and swaps across trading and market issues. This role will work very closely with the Regulatory & Compliance leadership team supporting a wide variety of matters across the firm.
Job Responsibilities
- Keep up to date on new regulations impacting the company or employees; assisting the company to coordinate and maintain compliance
- Advise team members on trading and market focused issues; primarily swaps, commodities and securities
- Draft supervisory provisions
- Partner with other team members to address regulatory exams and inquiries; preparation of response letters
- Represent company personnel at depositions or informal interviews, arbitrations, disciplinary matters and other litigation
- Represent the company before regulators
Qualifications:
- Juris Doctorate
- Ideally have prior experience coming from Big Law or FINRA/SEC
- 5+ years of experience focusing on regulatory litigation or compliance matters in regard to market or trading matters
- Ability to partner closely with internal teams
- Litigation experience is a plus
- Must be able to be onsite 5 days a week
- Deposition or working with deponents experience preferred
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