Deputy Regulatory Counsel

A global financial services firm is seeking a senior attorney to join its Regulatory Counsel team within the Compliance function. This role works closely with senior compliance leadership and plays a key role in advising the firm on regulatory matters across trading, technology, operations, and legal teams. The position involves frequent interaction with external regulators, market participants, and other third parties.

• Advise internal stakeholders on regulatory obligations related to securities, commodities, and derivatives, with a focus on trading and market structure issues
• Analyze new and evolving regulations, assess their impact on the business, and provide practical guidance to ensure effective implementation
• Partner with compliance professionals globally to support consistent regulatory frameworks and coordinated approaches across jurisdictions
• Draft and maintain written supervisory procedures, policies, and related compliance documentation
• Manage and coordinate regulatory examinations, inquiries, and requests for information
• Represent firm personnel in depositions, testimony, and informal interviews
• Represent the firm and its employees in regulatory enforcement actions, arbitrations, and other litigation matters
• Engage and manage outside counsel as appropriate
• Advocate for the firm in discussions with regulators and other industry participants on regulatory and policy issues
  
  

• Juris Doctor degree and active bar membership
• At least eight years of experience handling regulatory compliance and litigation matters, with substantive exposure to SEC and/or FINRA issues involving trading and markets
• Demonstrated experience operating in a global or multi‑jurisdictional regulatory environment
• First‑chair experience taking depositions and/or representing witnesses or respondents
• Strong judgment, written and oral advocacy skills, and the ability to work effectively with senior business and compliance leaders