Regulatory Counsel

Susquehanna International Group, LLP; Bala Cynwyd (PA); On-site; USD 140,000 - 210,000; Full time

Job summary

Susquehanna International Group, LLP in Bala Cynwyd seeks an Attorney to join our Regulatory Counsel Team within Compliance. You will advise on regulatory requirements related to securities, commodities and swaps, focusing on trading and markets, and interface with regulators and internal teams.

The role requires at least 5 years in securities law or broker-dealer compliance, strong FINRA/SEC knowledge, and excellent written communication. A J.D.

Qualifications

• 5+ years of experience in securities law or broker-dealer compliance or related regulatory role.
• Strong knowledge of FINRA rules and SEC regulations.
• Excellent analytical and written communication skills.
• Ability to manage multiple projects and deadlines independently.
• Juris Doctor degree required.

Responsibilities

• Advise personnel about regulatory requirements for securities, commodities and swaps.
• Assess new regulations and coordinate with compliance team to implement framework.
• Draft supervisory procedures and other compliance documents.
• Support responses to regulatory examinations and information requests.

Skills

Regulatory compliance

Securities law

FINRA rules

Analytical skills

Written communication

Education

Juris Doctor

Job description

Overview

Susquehanna has an opportunity for an Attorney to join our Regulatory Counsel Team within our Compliance department in our Bala Cynwyd headquarters. This team provides legal and regulatory guidance to support the firm’s compliance program and interfaces directly with trading, technology, operations, and legal teams as well as with external regulators, market participants, and others.

In this role you will:

• Advise Susquehanna personnel about regulatory requirements regarding securities, commodities and swaps, particularly focused on matters related to trading and markets
• Assess new regulations and their impact on Susquehanna, advise staff, and assist in coordination with other members of the compliance department to implement and/or enhance existing framework
• Draft written supervisory procedures and other compliance documents
• Support responses to regulatory examinations, inquiries, and requests for information from FINRA, the SEC, and other regulators

What we’re looking for

• Minimum of 5 years of experience in securities law, broker-dealer compliance, or a related regulatory role (law firm, in-house, or regulator)
• Working knowledge of FINRA rules, Securities Exchange Act of 1934, and related SEC regulations
• Strong analytical, research, and written communication skills
• Ability to manage multiple projects and deadlines independently
• Juris Doctor