Managing Director Legal - Trading Markets And Operations

Profile

Managing Director, Legal - Trading, Markets, and Operations
The candidate will review, analyze and interpret new legislative initiatives, including SEC and FINRA rulemaking, court decisions, actions by the exchanges, that may impact the securities market structure. Assist and support the Chief Counsel for Trading, Markets, and Operations and other senior leaders within legal and business in providing advice on difficult statutory or regulatory interpretation where gaps or ambiguities in the law exist, comment on proposed legislation or regulation, seek clarification or regulatory changes, and advocate positions before regulatory agencies. Consult and coordinate with other members of the legal services team to ensure efficient and consistent functioning. Manage outside counsel on significant matters. Provide specialized support to the Chief Counsel covering specific segments of trading, markets, and operations, as well as interact with the senior level business partners, including the Head of Operations and their direct management team. Develop and prepare guidance on complex legal issues that arise from changes to federal law that impact certain segments of trading and market structure. Handle broker operations and trading-related issues related to the framework for execution and clearing structures in U.S. equities and options markets. Identify legal issues, conduct legal research, provide legal analyses, prepare legal documents such as memorandum, and provide legal solutions and recommendations. This person has the considerable and highly specialized background and experience regarding trading and markets in U.S. equities and options, including as a regulator with the government or at a self-regulatory organization, or in private practice.

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