Regulatory Counsel
Core
Provide legal and regulatory guidance to support the firm's compliance program, interfacing with trading, technology, operations, and legal teams as well as external regulators.
Role type
In-house regulatory counsel (securities/commodities)
Builds
Compliance framework and regulatory responses
Domain
Financial services / Securities regulation
Deliverable
client delivery
Required skills
Securities law expertise, FINRA rules knowledge, SEC regulations knowledge, regulatory analysis, written procedure drafting, regulatory examination response
Preferred skills
Broker-dealer compliance experience, law firm or regulator experience
Technologies
None stated
Responsibilities
Advise personnel on regulatory requirements for securities, commodities, and swaps; Assess new regulations and their impact; Draft supervisory procedures and compliance documents; Support responses to regulatory examinations and inquiries from FINRA, SEC, and other regulators
Seniority
Mid-Senior, hands-on IC