Senior Regulatory Counsel - Quant Trading Firm

Larson Maddox; Philadelphia (Philadelphia County); Sur place; USD 180 000 - 280 000; Plein temps

Résumé du poste

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.

Responsabilités

• 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.

Connaissances

Regulatory compliance

Cross-functional collaboration

Litigation support

Regulatory exams

Formation

Juris Doctorate

Description du poste

Our client, a leading quantitative trading firm, is looking to bring on a Regulatory Counsel to join its in-house team. The team is seeking to bring somebody on who can advise the internal business on regulatory requirements regarding securities, commodities and swaps across trading and market issues. This role will work very closely with the Regulatory & Compliance leadership team supporting a wide variety of matters across the firm.

Job Responsibilities

• Keep up to date on new regulations impacting the company or employees; assisting the company to coordinate and maintain compliance
• Advise team members on trading and market focused issues; primarily swaps, commodities and securities
• Draft supervisory provisions
• Partner with other team members to address regulatory exams and inquiries; preparation of response letters
• Represent company personnel at depositions or informal interviews, arbitrations, disciplinary matters and other litigation
• Represent the company before regulators

Qualifications:

• Juris Doctorate
• Ideally have prior experience coming from Big Law or FINRA/SEC
• 5+ years of experience focusing on regulatory litigation or compliance matters in regard to market or trading matters
• Ability to partner closely with internal teams
• Litigation experience is a plus
• Must be able to be onsite 5 days a week
• Deposition or working with deponents experience preferred