Deputy Regulatory Counsel

Overview

A global financial services firm is seeking a senior attorney to join its Regulatory Counsel team within the Compliance function. This role works closely with senior compliance leadership and plays a key role in advising the firm on regulatory matters across trading, technology, operations, and legal teams. The position involves frequent interaction with external regulators, market participants, and other third parties.

Key Responsibilities

• Advise internal stakeholders on regulatory obligations related to securities, commodities, and derivatives, with a focus on trading and market structure issues
• Analyze new and evolving regulations, assess their impact on the business, and provide practical guidance to ensure effective implementation
• Partner with compliance professionals globally to support consistent regulatory frameworks and coordinated approaches across jurisdictions
• Draft and maintain written supervisory procedures, policies, and related compliance documentation
• Manage and coordinate regulatory examinations, inquiries, and requests for information
• Represent firm personnel in depositions, testimony, and informal interviews
• Represent the firm and its employees in regulatory enforcement actions, arbitrations, and other litigation matters
• Engage and manage outside counsel as appropriate
• Advocate for the firm in discussions with regulators and other industry participants on regulatory and policy issues

Qualifications

• Juris Doctor degree and active bar membership
• At least eight years of experience handling regulatory compliance and litigation matters, with substantive exposure to SEC and/or FINRA issues involving trading and markets
• Demonstrated experience operating in a global or multi‑jurisdictional regulatory environment
• First‑chair experience taking depositions and/or representing witnesses or respondents
• Strong judgment, written and oral advocacy skills, and the ability to work effectively with senior business and compliance leaders