As a team, the legal department is responsible for handling all legal matters for the Company including regulatory filings, SEC and CFTC compliance, contract drafting/review, corporate governance, mergers & acquisitions, disputes, litigation, etc.
Duties and Responsibilities:
Manage specialized knowledge to support national securities exchanges regulated by the SEC, with a particular focus on exchange rules and filings, industry initiatives and market structure.
- Review and draft rules and rule filings to the Securities and Exchange Commission to explain the purpose and basis of those rules
- Responsible for steering any rule changes through internal corporate and external regulators’ review & approval processes
- Prepare complex comment letters and help to respond to regulatory inquiries
- Provide advice on legal and regulatory issues resulting from new and existing regulations and business initiatives
- Counsel management by identifying issues, conducting research and drafting documents
- Respond to other general legal matters including those related to securities trading and corporate law issues
- Review regulatory and informational publications
- Monitor new domestic and international regulatory developments that directly or indirectly impact the company
- Provide legal counsel to the company in connection with regulatory exams, inspections and other matter
- Other legal support for company activities
Knowledge, Skills and Abilities:
- Ability to effectively evaluate contractual and 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
- Ability to collaborate with cross-functional business and legal team members and outside counsel
- Bachelor’s Degree and Juris Doctorate required (from an accredited institution)
- Member of applicable state bar
- 5+ years of experience working at a law firm or at a corporation, with a specialty related to securities exchange regulations, other securities regulatory matters or related fields of law
- Computer proficiency in Microsoft Office Suite applications including Word, PowerPoint, Excel and Outlook, as well as document management and other office technologies.