Senior General Counsel – Fintech Clearing & Compliance (Equity)

RQD* Clearing; New York (NY); On-site; USD 250,000 - 300,000; Full time

Benefits offered by this job

Health insurance

Equity and bonuses

Comprehensive benefits

Job summary

RQD Clearing is seeking a General Counsel to serve as the company’s senior legal executive and trusted advisor to the CEO, Board, and leadership team. The role demands deep hands-on SEC and FINRA regulatory experience for broker-dealers, including carrying, clearing, and custody businesses, with involvement in commercial agreements, governance, financings, and risk management.

This is a highly practical role requiring clear recommendations and collaboration with Compliance, Risk, Operations,

Qualifications

• Deep hands-on experience with SEC and FINRA regulation applicable to broker-dealers.
• Experience advising senior executives and Boards of Directors.
• Ability to provide practical, independent advice without excessive reliance on outside counsel.

Responsibilities

• Serve as senior legal advisor on SEC and FINRA rules for broker-dealers, clearing firms, carrying firms, and custody businesses.
• Advise on customer protection, net capital, margin, books and records, and regulatory reporting.
• Lead or oversee SEC and FINRA inquiries, investigations, and enforcement matters.
• Draft and negotiate complex commercial agreements in clearing, custody, and technology partnerships.
• Oversee corporate governance, financings, and strategic transactions.
• Build scalable legal processes, templates, and policies.

Skills

SEC/FINRA regulatory expertise

Broker-dealer regulatory knowledge

Contract negotiation

Regulatory risk management

Leadership with executives

Education

Juris Doctor

Job description

RQD Clearing is seeking a General Counsel to serve as the company’s senior legal executive and trusted advisor to the CEO, Board, and leadership team. The role demands deep hands-on SEC and FINRA regulatory experience for broker-dealers, including carrying, clearing, and custody businesses, with involvement in commercial agreements, governance, financings, and risk management.

This is a highly practical role requiring clear recommendations and collaboration with Compliance, Risk, Operations,