Senior Regulatory Counsel - Securities Trading
We are partnering with an elite Crypto trading and securities platform that is seeking a Senior Regulatory Counsel with securities trading experience as they expand their global footprint to the US market. This role will work closely with the General Counsel and other C-level executives by advising on regulatory strategy, crypto and securities trading regulations, and responses to regulators. You will join a rapidly growing company with a flat heirarchy that will allow you to have a significant impact on the firm's operations.
Responsibilities:
- Advise senior executives on various regulatory issues related to crypto and securities trading while helping the firm achieve key business objectives
- Play a lead role in interfacing with regulators (such as the SEC, CFTC, and FINRA) and guide the firm through regulatory exams and investigations as needed
- Develop regulatory compliance controls and procedures and help develop sound policies to ensure the firm's compliance with regulatory mandates
- Champion regulatory best practices and represent the firm's interests in various industry groups
- Analyze and interpret new and existing legislation and the impact on the firm
Qualifications:
- 5+ years of Legal experience, ideally in a regulatory setting dealing with securities trading issues
- Experience dealing with various regulatory agencies (SEC, FINRA, CFTC, etc.)
- Understanding of securities trading business and relevant regulations
- Strong written and oral communication skills
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