Regulatory Counsel
1 month ago
A notable prop trading firm well-known in the industry is currently seeking a Regulatory Counsel to work directly with the General Counsel to support leadership and other members of the business on legal risks, business strategies, and commercial deals.
Responsibilities:
- Handle regulatory matters with securities regulators (FINRA, SEC, CFTC, Exchanges) regarding the firm, their trading activities, and employees.
- Represent the business in regulatory enforcement cases including collecting evidence, responding to requests for information, presenting employees for testimony, engaging in settlement negotiations, and representing the firm in administrative hearings.
- Provide guidance on legal matters for business activities including corporate, contractual, regulatory, litigation and transactional issues.
- Draft highly complex limited partnership and limited liability company agreements in the context of restructurings, startups and joint ventures involving tax, regulatory and IP considerations.
- Negotiate and train employees with regard to commercial contracting with an emphasis on technology and collaborate with other departments in negotiations to ensure consideration of all relevant legal matters.
Expectations:
- A Juris Doctor and license to practice law in Illinois
- 5+ years of legal experience in securities regulation and corporate law
- Strong background within Financial Services, option market making and/or proprietary trading
- Experience handling regulatory inquiries and representing firms before regulators
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