In-House Regulatory Counsel — Securities, Commodities & Swaps

Larson Maddox; Philadelphia (Philadelphia County); On-site; USD 180,000 - 280,000; Full time

Job summary

Larson Maddox represents a leading quantitative trading firm seeking an experienced Regulatory Counsel to join the in-house legal team in Philadelphia. The role focuses on advising on regulatory requirements surrounding securities, commodities, and swaps across trading and market activities.

The ideal candidate has a Juris Doctorate with 5+ years in regulatory litigation or compliance within financial markets and can partner closely with internal teams. Onsite five days a week is required.

Qualifications

• Juris Doctorate required.
• Big Law or FINRA/SEC background preferred.
• 5+ years focused on regulatory litigation or compliance in markets.
• Ability to partner closely with internal teams.
• Onsite 5 days a week.

Responsibilities

• Stay up to date on new regulations impacting the company and employees; assist with coordinating and maintaining compliance.
• Advise teams on trading and market issues; primarily swaps, commodities and securities.
• Draft supervisory provisions.
• Collaborate with team members to address regulatory exams and inquiries; prepare response letters.
• Represent company personnel at depositions or informal interviews, arbitrations, disciplinary matters and other litigation.
• Represent the company before regulators.

Skills

Regulatory compliance

Cross-functional collaboration

Litigation support

Regulatory exams

Education

Juris Doctorate

Job description

Larson Maddox represents a leading quantitative trading firm seeking an experienced Regulatory Counsel to join the in-house legal team in Philadelphia. The role focuses on advising on regulatory requirements surrounding securities, commodities, and swaps across trading and market activities.

The ideal candidate has a Juris Doctorate with 5+ years in regulatory litigation or compliance within financial markets and can partner closely with internal teams. Onsite five days a week is required.