Senior Principal Advisor and Counsel Market Manipulation

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Senior Principal Advisor and Counsel, Market Manipulation
The candidate will report to the Vice President, Strategic Operations. Assist MMG and MRTS leadership in the oversight of intra-departmental and inter-departmental initiatives, advise on regulatory policy formulation and provide expert guidance on regulatory matters for the Market Regulation department, work in partnership with the Enforcement department on complex/high-profile investigations, and represent the department at meetings with internal and external constituents. Apply expert analytical skills and subject matter expertise on the development and implementation of the departmental strategy. Responsible for certain elements of the review and approval function for existing regulatory programs, to ensure that developing regulatory policy issues are resolved expertly and timely. Also be responsible for communications (both written and oral) with staff, member firms, and regulatory clients. Provide operational support to MMG leadership in the administration of the program. Work closely with the MMG and MRTS senior leadership team in achieving departmental goals, as well as develop, coordinate, and implement individual and cross-group initiatives/strategies related to MMG's surveillance, investigative, and reporting responsibilities. Lead collaboration with groups across the Department and the organization regarding the progression of complex investigations and the disposition of those matters post-referral to Enforcement, providing expert analysis and guidance; the development of risk assessments and applications used by the Department; and rule interpretation and development support. Oversees cross-market regulation projects (including new business initiatives), issues and policy formulation. Advises the MMG and MRTS senior leadership team on the formulation and development of regulatory proposals and policy. Review, evaluate, and recommend new business initiatives from a strategic, legal and business perspective. Evaluate the impact of the organization, RSA exchange and SEC rule changes on the program and recommends responses, consistent with Market Regulation strategies and legal and regulatory requirements. Develop strong relationships and interfaces with RSA exchange clients on projects and other regulatory matters on behalf of Market Manipulations and other Market Regulation groups. Utilize in-depth knowledge of regulatory programs, policies, and strategies to prepare detailed reports for the Chief Regulatory Officers and staff of the current RSA exchanges on the Department's programs, as well as prepare and deliver high-level briefings/ presentations to the leadership, RSA exchanges, and oversight agency executives. Oversee the development of more efficient processes across the Department, including developing and maintaining Department-wide procedures. Work with technology partners within the organization to champion advanced analytics solutions to Market Regulation processes. Act as project sponsor to department-wide initiatives regarding processes and procedures, applications, and case management. Serve as primary liaison to other groups, including Member Supervision, Enforcement, Technology, and the Code of Conduct Group. May serve as senior advisor to department committees (i.e., Workflow, Innovation, etc.). Should have an undergraduate degree. A law degree is required. Must have 10+ years of industry experience. Should have expert knowledge of federal securities laws, rules and regulations relevant to Market Regulation's regulatory activities. Substantial knowledge of broker-dealer compliance policies and practices is essential. Expertise with use of a PC using the full suite of electronic office product applications is a must.

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