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Organization TypePublic Interest
Years of Experience
Date Last Verified
General Counsel, Capital Markets - Office of General Counsel Duties: Advise the Board of Governors and Authority and advisory committees with respect to high-impact, legally and politically complex and sensitive regulatory initiatives and rule changes under consideration by the Board. Brief and communicate complex and sensitive regulatory initiatives to senior executives. Provide such analysis under urgent deadlines. Serve as the key source of legal expertise in many subject areas, with an emphasis on trading and market issues in the fixed income area, and provide independent expert advice on questions in these subject areas. Subject areas include those to trading practices, market integrity and market structure such as fixed income trading, trade reporting requirements, order handling rules, Regulation NMS, short selling and public and private offerings. Support policy and rulemaking functions relating to Authority quoting and trading mechanisms, including TRACE, the Alternative Display Facility (ADF), OTC Bulletin Board (OTCBB) and Trade Reporting Facilities (TRFs). Prepare Board materials that contain sophisticated analyses and discussions of competing policy or political considerations necessary for the informed judgment of the issues by the Board.Review and draft new rule proposals; gather and incorporate views of industry participants, other regulators, and senior staff; and prepare rule filings to the SEC. Work closely with the Office of the Chief Economist in conducting economic impact assessments of rulemakings. Meet with senior staff of SEC, industry groups and other interested parties concerning regulatory initiatives. Represent Authority before industry and self-regulatory organization/inter-market groups. Prepare Regulatory Notices, rule guidance and other correspondence with member firms and their outside counsel. Conduct and oversee legal and other research into matters of regulatory policy as necessary to (1) develop rule proposals and to respond to internal and external comments, and (2) respond to interpretive and exemptive requests. Take a leadership role in identifying and presenting original, creative, innovative, and sophisticated solutions and proposals for changes to existing rules, including the elimination or reduction of unnecessary regulation and the adoption of new rules. Serve as counsel to one or more operating departments of Authority, providing expert-level legal advice and taking an active role in ensuring the success of departmental initiatives. Serve as primary liaison to Authority advisory committees as assigned. Keep abreast of and analyze SEC, industry and other self-regulatory organization initiatives, and develop and maintain strong working relationships with SEC staff and other regulators. Attend and speak at regulatory policy public conferences and meetings of Authority advisory committees on areas of subject matter expertise. Lead or participate in ad hoc special projects and initiatives as requested. Provide status reports of assigned matters or projects. Develop communications as needed for Chief Legal Officer and other senior management. Provide and implement suggestions to increase efficiency and effectiveness of office procedures.
Qualification and Experience
Qualifications: Law degree from an accredited law school, admission to a Bar, and 6+ years of directly related legal experience. Advanced knowledge of fixed income securities, trading and market practices and rules, regulations and guidelines governing the securities industry. Excellent oral and written communication skills. Excellent judgment and interpersonal skills.
Job Number: 006337. Send a cover letter and resume with writing sample.
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