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In-House
Attorney
Corporate
Litigation - Whistleblower - CFTC
2-5 yrs required
Assistant General Counsel - Regulatory Candidate will focus on handling company’s exchange regulatory matters, including: Preparing exchange rule and fee filings under Section 19(b) of the Exchange Act, advising the company on compliance with the Exchange Act and SEC rules and regulations thereunder, drafting comment letters on SEC rule proposals and proposals from competing exchanges, monitoring industry regulatory and competitive developments, working closely with SEC staff on regulatory oversight matters, including staff from both Trading and Markets and OCIE divisions, supporting the handling of exchange disciplinary matters, supporting the exchange surveillance program, and otherwise supporting the overall exchange regulatory program. Perform daily routine activities of an exchange regulatory lawyer in the Legal Department. Prepare exchange rule filings and fee filings for two distinct registered exchanges. Work closely with the business and finance departments to draft options trading rules and fee schedule changes. Work closely with SEC staff from both divisions of Trading and Markets and OCIE on various matters relating to the exchange regulatory programs. Provide advice and support to various internal staff at company relating to rules and regulations for options trading. Provide support on various exchange disciplinary matters and work closely with surveillance staff to support surveillance program. Analyze complex legal and factual issues to determine if rule violations have occurred. Resolve complex or difficult matters involving important, sensitive or novel issues, including evaluating the legal theories in support of charges regarding ‘cutting edge’ cases where there is a lack of precedent. Review all enforcement recommendations for sufficiency of the evidence, evaluate all proposed legal theories in support of the charges, establish sanction recommendations, and provide Chief Regulatory Officer with recommendations regarding the legal strategy for the disposition of enforcement. Identify and understand issues related to the technical nature of trading in an electronic environment. Provide rule interpretations to internal staff, members, and others. Monitor industry regulatory developments and advise senior management thereon. Conduct legal research.
Qualification and Experience
Candidate should have 2-5 years of relevant work experience, ideally at an exchange, the SEC, a broker-dealer or at a law firm.
Requisition Number: 15-0016.
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