Assistant General Counsel – Director

Assistant General Counsel – Director

Requirements

• Bachelor’s Degree and Juris Doctorate required (from an accredited institution)
• Member of applicable state bar
• Minimum of 8-10 years of experience as a practicing attorney (preferably at a U.S. securities exchange, the SEC, or a U.S. broker-dealer), with a specialty related to securities exchange regulations, and/or other securities regulatory matters or related fields of law preferred

Responsibilities

• Review and draft rules and rule filings to the Securities and Exchange Commission to explain the purpose and basis of those rules
• Advise and provide legal support to business on regulatory matters, including the timing and likelihood of rule filing approvals
• Prepare complex comment letters, act as liaison between business and SEC in negotiating filings, and respond to inquiries from SEC staff
• Research complex, multi-dimensional issues and provide written memoranda related to the legal issues pertaining to the services provided by the company and provide analysis and recommendations based on that research
• Responsible for steering any rule changes through internal corporate and external regulators’ review & approval processes
• Counsel management by identifying issues, conducting research, and drafting documents Work with foreign legal counsel to obtain guidance regarding managing and promoting such venues in foreign jurisdictions. Review regulatory and informational publications
• Provide legal counsel to the Company in connection with regulatory exams, inspections, and other matters Handle a number of other general legal matters. Assist with various legal projects across the Legal Division and perform other duties as assigned.

Preferred Qualifications

• Experience in drafting exchange rule filings, in addressing exchange registration and regulatory matters is preferred.
• Ability to effectively communicate both orally and in writing and to effectively interact with internal and external contacts.
• Strong attention to detail and the ability to articulate complex concepts with the level of detail that is necessary for various regulatory filings and other written communications.
• Ability to work independently and to work cooperatively in group situations; offer assistance and support to co-workers; balance team and individual responsibilities; exhibit objectivity and openness to others’ views; give and welcome feedback
• Must be politically aware and able to develop business-led solutions while driving the risk management agenda
• Ability to effectively evaluate regulatory requirements, understand their impact on the business, and develop creative solutions
• Highly motivated, strategic, detail-oriented with the ability to pro-actively organize a heavy workload and demonstrate excellent analytical abilities