Regulatory Legal Counsel

We are seeking an experienced Regulatory Attorney to join our legal team at a leading proprietary trading firm. The ideal candidate will have 8+ years of experience in regulatory law, particularly in the financial services industry, with a focus on commodities, securities, derivatives, and/or proprietary trading. This position requires a deep understanding of applicable U.S. regulations (e.g., SEC, CFTC, NFA, FINRA) and a proven ability to see the bigger picture and align legal strategies with commercial objectives. The candidate must be nimble in applying legal concepts to solve problems, especially with respect to novel issues, and have a cross-functional mindset to understand new functional areas quickly. A detail-oriented, hands-on approach to both legal and business challenges is essential. Experience in other in-house legal topics is preferred.

Your Core Responsibilities:

• Provide legal advice on U.S. regulatory matters impacting proprietary trading, including but not limited to SEC, CFTC, NFA, and FINRA regulations.
• Monitor, interpret, and advise on new regulatory developments, ensuring the firm’s compliance with applicable laws and regulations.
• Advise the firm on compliance with regulations pertaining to commodities, securities, and derivatives markets.
• Collaborate with the compliance and risk management teams to identify and mitigate regulatory risks.
• Review and negotiate agreements with exchanges, clearinghouses, and other counterparties from a regulatory perspective.
• Assist in the resolution of regulatory and compliance issues arising from audits, investigations, or enforcement actions.
• Demonstrate a willingness to learn and support other general in-house legal matters, such as corporate governance, contract negotiation, intellectual property, employment law, and dispute resolution, as needed.
• Proven ability to see the bigger picture and align legal advice with the firm’s commercial strategy
• Quickly understand new functional areas and collaborate across departments with a cross-functional mindset.
• Apply legal concepts to problem-solve in a nimble, pragmatic manner, especially when dealing with novel or complex issues.
• Detail-oriented, commercial, and hands-on approach to both legal and business issues

Your Skills and Experience:

• 8+ years of legal experience with a focus on regulatory matters in the financial services industry, ideally with exposure to proprietary trading, derivatives, and/or commodities.
• Prior experience working at a proprietary trading firm, broker-dealer, or financial institution is preferred.
• Familiarity with automated or algorithmic trading strategies is preferred.
• Juris Doctor (JD) from an accredited law school
• Admission to at least one state bar, with a preference for candidates admitted to practice in [State].

• Understanding global regulatory frameworks impacting financial markets (e.g., MiFID II, EMIR, etc.) is preferred.
• In-depth knowledge of U.S. financial regulations, including SEC, CFTC, NFA, and FINRA rules
• Experience working with regulatory agencies
• Strong analytical, problem-solving, and communication skills.
• Ability to work independently and collaboratively in a fast-paced environment
• High attention to detail and strong organizational skills
• Experience in other in-house legal areas, such as corporate governance, contracts, IP, employment law, or litigation, is preferred.

Please note that immigration sponsorship is not offered for this specific opening.