Assistant General Counsel, Regulatory
Core
Navigate complex regulatory frameworks to help design innovative financial products and services while engaging with regulators and drafting policies.
Role type
Assistant General Counsel (Regulatory)
Builds
Retail brokerage products and services compliant with SEC/FINRA regulations
Domain
Financial Services / Securities Regulation
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Retail broker-dealer regulation expertise, SEC/FINRA engagement, regulatory drafting, legal analysis, project management, cross-functional partnership
Preferred skills
Options/privacy/crypto experience, regulatory agency background, rulemaking advocacy
Technologies
None stated
Responsibilities
Navigate regulatory frameworks to design financial products, draft system changes for new rules, engage with SEC/FINRA, draft agreements and disclosures, review marketing materials, resolve customer estate/bankruptcy issues, monitor rule developments, research securities questions, partner with litigation/compliance/product teams
Seniority
Senior, specialized IC