Associate General Counsel Regulatory Broker Dealer

Full Time

Broker Dealer Client

Office Status: Hybrid (3 days per week in office)

Salary: $250,000 – $290,000


  • Act as primary regulatory counsel to US based broker-dealers including providing advice to compliance and the business on rule and regulation interpretation and implementation relating to equities and fixed income securities
  • Draft and review ATS and ATS-N filings and associated equities and fixed income trading rules
  • Take a lead role in drafting and updating policies and procedures relevant to the securities business of the broker dealers
  • Support and advise on the implementation of relevant compliance training
  • Advise on books and records, AML and OFAC compliance, monitoring and surveillance program and other regulatory and compliance issues as they arise
  • Supervise and advise on regulatory enforcement investigations by exchanges, SROs and other regulators
  • Supervise outside counsel as required
  • Periodically meet and maintain touchpoints with key regulators and contacts
  • Advise and support new business initiatives
  • Act as a back up to primary futures and swaps counsel and advise on futures and swaps regulatory matters as may be required
  • Other duties as may be assigned.
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