Counsel - Regulatory (Hybrid)

Description:

Position Summary:
Provide legal support to An Options Exchange Company U.S. options and equities exchanges regulated by the SEC, including managing regulatory filings, working closely with and advising regulatory staff, providing legal guidance and advice on numerous issues, with a focus on those related to An Options Exchange Company market data and access services business line and otherwise advising the business team overseeing the U.S. options and equities business lines as needed.
Duties and Responsibilities:
Legal resource for the Company's U.S. options and equities business lines regulated by the SEC, with focused support of An Options Exchange Company market data and access services business line.

• Review and draft rules and rule filings to the Securities and Exchange Commission to explain the purpose and basis of those rules
• Advise business on regulatory matters, including the timing and likelihood of rule filing approvals
• Prepare complex comment letters, act as liaison between business and SEC in negotiating filings, and respond to inquiries from SEC staff
• Research complex, multi-dimensional issues and provide written memoranda related to the legal issues pertaining to the services provided by the company
• Responsible for steering any rule changes through internal corporate and external regulators' review & approval processes
• Counsel management by identifying issues, conducting research, and drafting documents
• Review regulatory and informational publications
• Provide legal counsel to the Company in connection with regulatory exams, inspections, and other matters
• Assist in providing legal support relating to governance and regulatory oversight matters and to subsidiary Board committees that address these matters.
• Other legal support for company activities

Qualifications:

• Bachelor's Degree and Juris Doctorate required (from an accredited institution)
• Member of applicable state bar
• 3+ years of experience working at a corporation (preferably a U.S. securities exchange, the SEC or CFTC) or law firm, with a specialty related to securities exchange regulations, and/or other securities regulatory matters or related fields of law preferred
• Computer proficiency in Microsoft Office Suite applications including Word, PowerPoint, Excel and Outlook, as well as document management and other office technologies.

Knowledge, Skills, and Abilities:

• Experience in drafting exchange rule filings, in addressing exchange registration and regulatory matters is preferred.
• Must be politically aware and able to develop business-led solutions while driving the risk management agenda
• Ability to effectively evaluate regulatory requirements, understand their impact on the business, and develop creative solutions
• Highly motivated, strategic, detail-oriented with the ability to pro-actively organize a heavy workload and demonstrate excellent analytical abilities

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