Regulatory Trading Counsel

  • Location

    New York, USA

  • Sector:

    Banking & Financial Services

  • Job type:

    Permanent

  • Salary:

    300,000

  • Contact:

    Maria Talebian

  • Contact email:

    mariatalebian@taylorroot.com

  • Job ref:

    5RIN_1555607504

  • Published:

    about 1 month ago

  • Expiry date:

    2019-05-18

  • Startdate:

    01/05/2019

  • Client:

    #

  • Consultant:

    #

(24) Attorney & Regulatory Specialist, Global Trading Firm | Taylor Root | LinkedIn

Global Trading & Technology firm is seeking a Compliance Counsel to assist with the firm-wide regulatory and legal operations. This will include shaping & enhancing the current program and working closely with the senior business partners of the firm.

The Legal / Compliance professional will work closely with the firm's General Counsel (based in New York) and assist with legal and regulatory affairs of the firm, with a focus on UK and EU matters. Tasks will include establishing and documenting policies and procedures, overseeing compliance by staff, providing legal analysis of new opportunities, monitoring trading activity, training and advising staff, managing regulatory reporting and communication, monitoring global regulatory developments and best practices, reviewing and negotiating contracts, and assisting with general corporate matters. Periodic travel to New York is expected.

The candidate must be an admitted/qualified attorney, have impeccable professional background and at least 4 years of relevant experience in a similarly regulated environment. Strong knowledge of key compliance areas and general computer literacy are required. Ability to work independently, strong organizational skills, and ability to multitask are required. Experience with MiFID investment firms, the FCA or similar regulator, and derivatives industry are pluses. Excellent base / bonus & benefits on offer.

The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.