Regulatory Counsel
sig susquehannaBrooklyn, NY
Regulatory Counsel
sig susquehannaBrooklyn, NY
yesterday
Industries
Investment Banking and Securities IntermediationOffices of LawyersRegulation, Licensing, and Inspection of Miscellaneous Commercial SectorsAbout the role
Overview:
Susquehanna has an opportunity for an Attorney to join our Regulatory Counsel Team within our Compliance department in our Bala Cynwyd headquarters. This team provides legal and regulatory guidance to support the firm's compliance program and interfaces directly with trading, technology, operations, and legal teams as well as with external regulators, market participants, and others.
In this role you will:
Advise Susquehanna personnel about regulatory requirements regarding securities, commodities and swaps, particularly focused on matters related to trading and markets
Assess new regulations and their impact on Susquehanna, advise staff, and assist in coordination with other members of the compliance department to implement and/or enhance existing framework
Draft written supervisory procedures and other compliance documents
Support responses to regulatory examinations, inquiries, and requests for information from FINRA, the SEC, and other regulators
What we're looking for:
Minimum of 5 years of experience in securities law, broker-dealer compliance, or a related regulatory role (law firm, in-house, or regulator)
Working knowledge of FINRA rules, Securities Exchange Act of 1934, and related SEC regulations
Strong analytical, research, and written communication skills
Ability to manage multiple projects and deadlines independently
Juris Doctor
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JOB OVERVIEW
Experience level
Senior
Location
Brooklyn, NY
Occupation
Compliance Managers
Industry
Investment Banking and Securities Intermediation
Posted
yesterday
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