Regulatory Counsel

1 month ago


Chicago, United States Larson Maddox Full time

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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