Overview
A national securities exchange registered with the SEC is seeking a highly experienced regulatory attorney to join its Regulatory team. The organization focuses on promoting fair and orderly markets and supporting companies with a long-term growth focus. This role involves working closely with SEC and self-regulatory organization (SRO) rules, managing rule filings, and serving as a key liaison with regulators.
Responsibilities
- Research, interpret, and provide advice on SEC and SRO rules.
- Collaborate with internal teams to ensure compliance with exchange rules.
- Draft and submit rule changes and amendments to the SEC.
- Lead responses to regulatory examinations.
- Represent the exchange at industry meetings and committees (e.g., CAT, CTA/UTP).
Requirements
- Juris Doctor (JD) degree.
- Deep understanding of the role of an SRO and significant experience interpreting SEC, exchange, and SRO rules.
- Proven experience drafting and managing regulatory rule filings.
- Excellent written and verbal communication skills.
- Strong organizational skills adaptable to a fast-paced, start-up environment.
- Ability to make risk-based recommendations and decisions under deadlines.
Preferred Qualifications
- Residency in the New York tri-state area with the ability to attend the Financial District office occasionally.
Compensation & Benefits
- Target salary range: $160,000 - $220,000, with a midpoint base salary of $195,000.
- Total rewards package includes stock options, benefits, and potential performance incentives.
- Annual compensation reviews benchmarked against industry peers.
- Benefits include:
- Flexible remote-first work environment with a flexible vacation policy.
- Comprehensive medical, dental, vision, and employee assistance program benefits with 100% employee cost coverage; minimal 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 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 with a generous exercise period for full-time employees after 2 years.
Location
- Remote employment available for candidates residing in select states.
- Preference for candidates able to attend the New York Financial District office occasionally.
The organization is an equal opportunity employer committed to diversity, equity, and inclusion, and provides accessible application and interview processes for candidates with disabilities.