Regulatory Counsel

SIG Susquehanna; Northern (KY); Hybrid; USD 130,000 - 200,000; Full time

Job summary

Susquehanna is seeking an experienced Attorney to join our Regulatory Counsel Team within our Compliance department at our Bala Cynwyd headquarters. You will provide legal and regulatory guidance to support the firm's compliance program and interface with trading, technology, operations, and legal teams, as well as with regulators.

You will advise on regulatory requirements for securities, commodities, and swaps, assess new rules, draft supervisory procedures, and support responses to

Qualifications

• Minimum of 5 years of experience in securities law or related regulatory role.
• Working knowledge of FINRA rules, the Securities Exchange Act of 1934, and related SEC regulations.
• Juris Doctor degree required.

Responsibilities

• Advise Susquehanna personnel about regulatory requirements regarding securities, commodities and swaps.
• 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

Skills

Regulatory compliance

Analytical thinking

Research

Written communication

Project management

FINRA rules knowledge

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