Assistant General Counsel
$175–$200,000 year
On-siteNew York City, New York, United States or New York, United States
Job Summary
Collaborate with all business lines and departments to provide legal guidance on product development, technology, compliance, and corporate governance matters. Advise on the operation of Alternative Trading Systems, including drafting regulatory filings and engaging with SEC and FINRA staff on examinations and inquiries. Work with regulators and lawmakers to support policy initiatives related to market structure, crypto assets, and investor protection by drafting and reviewing comment letters. Draft, review, and negotiate business and vendor contracts while managing general corporate governance, including employee equity compensation. Communicate with regulators on regulatory examinations and inquiries while advising on the application of new legal requirements to company systems and policies.
Required Qualifications
- J.D. degree from an ABA-accredited law school
- admitted to the New York bar
- 3+ years of relevant legal experience
- at least two of which in a securities/capital markets or related practice group at a leading law firm (V100 or equivalent)
- Strong working knowledge of U.S. securities laws and regulations, including the Securities Act of 1933, the Securities Exchange Act of 1934, regulations applicable to Alternative Trading Systems (ATSs), and SEC/FINRA rules applicable to broker-dealers
- Ability to quickly understand technology platforms and trading workflows and assess legal and regulatory impact of any changes or disruptions
- Experience advising on capital markets transactions, public securities trading, secondary market activity, broker-dealer or trading platform operations, and regulatory compliance, as well as on general corporate matters, including drafting/negotiating commercial agreements
- Demonstrated interest in securities trading and financial markets, including the ability and initiative to monitor and analyze relevant legal, regulatory, market structure, and policy developments
- Excellent legal judgment, drafting, analytical, and communication skills, with the ability to translate complex regulatory requirements into practical business guidance
- Desire to work cross-functionally with legal, compliance, operations, technology, product, and business teams
- Ability to work autonomously and exercise independent judgment with minimal supervision
- Must be available for three days in office and two days remotely
Desired Qualifications
- Experience (in legal practice or otherwise) with trading operations and technology or other public securities markets infrastructure
- Experience with digital assets, crypto or other blockchain-based products
- Familiarity with global privacy and data protection laws, including U.S. state privacy laws (e.g., CCPA/CPRA), GDPR, or other international frameworks
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