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Job Details

Associate General Counsel -- Regulatory Compliance

Company name
Tradition America

Experience
5 yrs required

Location
New York City, NY, United States

Employment Type
Full-Time

Industry
Legal

Posted on
Nov 21, 2021

Profile

A major global inter-dealer brokerage firm with its Americas operations headquartered in New York City is seeking an attorney with a minimum of five (5) years’ experience to join its legal department and be able to handle a variety of legal and regulatory matters.   

Duties include, but are not limited to, CFTC, NFA, SEC, FINRA compliance, corporate governance, contract drafting/review/negotiation, customer inquiries, and related regulatory filings.  The ideal candidate should have experience with and knowledge of swaps brokering on the institutional side, swaps executions in general and applicable regulatory frameworks to assist the established SEF. 

Duties may include interfacing with the SEF Chief Executive Officer, Chief Compliance Officer and Chief Administration Officer with respect to swaps rules and regulations, the submission of relevant presentations and filings to the appropriate regulatory authorities, proposing and drafting SEF Rulebook updates and amendments, advise the SEF and related affiliates of new developments in swap, futures, and securities laws, with a focus on Dodd-Frank swap rules, and service as Secretary to SEF Board of Directors. 

Company info

Tradition America

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