Director and Senior Counsel, Regulation and Markets

Overview

A national securities exchange registered with the SEC is seeking a Director and Senior Counsel, Regulation and Markets to advance regulatory strategy and uphold market integrity. This role involves guiding the organization through the evolving securities regulatory landscape and supporting initiatives to modernize public markets.

Responsibilities

• Lead the end-to-end rule filing process, including identifying, drafting, and submitting filings to the SEC.
• Serve as the primary liaison with SEC staff throughout the filing and review process.
• Oversee and mentor junior attorneys involved in rule filings.
• Advise business and product teams on regulatory matters and interpretation of the exchange's rulebook.
• Research and interpret complex SEC and self-regulatory organization (SRO) rules and regulations.
• Represent the organization in regulatory and industry meetings (e.g., CAT, CTA/UTP).
• Contribute to regulatory examinations and prepare responses.
• Assist in preparing materials for the Board and exchange committees.
• Monitor regulatory developments at the SEC and other SROs.

Requirements

• Juris Doctor (JD) degree.
• Minimum of 5 years of hands-on experience at the SEC, an exchange/SRO, or a law firm specializing in exchange matters.
• Proven expertise with the SEC Rule 19b-4 filing process and rule drafting.
• Exceptional written and verbal communication skills for effective interaction with SEC staff, SROs, outside counsel, exchange personnel, and Board members.
• Strong organizational skills and adaptability to a fast-paced, start-up environment.
• Creative problem-solving abilities with the capacity to meet stringent deadlines and make decisive recommendations.

Preferred Qualifications

• Experience working in a start-up environment.
• Residency in the New York Tri-state area with a preference for occasional in-office attendance (Financial District location).

Compensation & Benefits

• Target salary range: $230,000 - $290,000, with a midpoint base salary of $260,000.
• Total rewards package includes base salary, stock options, benefits, and potential performance incentives.
• Annual compensation reviews benchmarked against industry peers to ensure competitive and fair pay.
• Benefits include:
  • Flexible remote-first work environment with a flexible vacation policy.
  • Comprehensive medical, dental, vision, and employee assistance program benefits, with 100% of employee costs covered and minimal contributions for dependents.
  • Parental leave offering up to 4 months of caregiver leave, including 8 weeks of full salary continuation.
  • Lifestyle Spending Accounts providing up to $2,000 annually for fitness, mental health, family care, pet care, learning and development, and charitable giving.
  • Company-provided laptop, cell phone reimbursement, and a $500 home-office stipend.
  • 401(k) retirement savings plan and other benefits.
  • Equity options for full-time employees with a generous exercise period after 2 years.

Location

Remote employment is available for candidates residing in select states, with a preference for candidates in the New York Tri-state area for occasional office presence.

Equal Opportunity

The organization is an equal opportunity employer committed to diversity, equity, and inclusion. It does not discriminate based on legally protected statuses and strives to make application and interview processes accessible to candidates with disabilities.