Director and Senior Counsel, Regulation and Markets

Overview

This role involves advancing regulatory strategy and ensuring the integrity of a national securities exchange focused on promoting long-term value creation in public markets. The organization is an SEC-registered national securities exchange dedicated to supporting companies that prioritize sustainable, long-term growth.

Responsibilities

• Lead the end-to-end rule filing process, including identifying, drafting, and submitting rule filings to the SEC.
• Serve as the primary point of contact with SEC staff regarding rule filings.
• Oversee and mentor junior attorneys involved in the rule filing process.
• Advise business and product development 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 exchange 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 covering exchange matters.
• Proven experience with the SEC 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.
• Superior organizational skills and adaptability to a fast-paced, start-up environment.
• Creative problem-solving skills with the ability to meet stringent deadlines and make decisive recommendations.

Preferred Qualifications

• Previous experience working in a start-up environment.
• Residency in the New York Tri-state area with a preference for occasional in-office attendance at a 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 pay reviews benchmarked against industry peers to ensure competitive and fair compensation.
• 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 a small fixed contribution for dependents.
  • Up to 4 months of caregiver leave for new parents, including 8 weeks of full salary continuation.
  • Lifestyle Spending Accounts providing up to $2,000 annually for physical fitness, mental health, wellness, family care, pet care, learning and development, and charitable giving.
  • Company-provided laptop, cell phone reimbursement, and a $500 home-office stipend.
  • 401(k) program and other benefits through third-party providers.
  • Equity options for full-time employees with a generous exercise period after a 2-year milestone.

Location

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

Equal Opportunity

The organization is an equal opportunity employer committed to diversity, equity, and inclusion. It does not discriminate based on race, ethnicity, color, ancestry, national origin, religion, sex, sexual orientation, gender identity, age, disability, veteran status, genetic information, marital status, or any other legally protected status. The application and interview processes are accessible to candidates with disabilities.