Deputy General Counsel

OTC Markets Group Inc., operator of premier US financial markets for over 12,000 domestic and global companies, is seeking a Deputy General Counsel. This role will report to the General Counsel and will engage directly with senior management, business leaders and external stakeholders on product and business development, legal and regulatory operations, corporate growth strategy and other company-wide matters.

OTC Markets operates in a hybrid work environment (three days in office, two days remotely). This position works out of our NYC office.

Our Core Values are incorporated in each aspect of our Company. We encourage autonomy, professionally passionate discussions of opposing viewpoints, creativity, and transparency. We are O*pen, Transparent, and C*onnected. We are OTC strong. At OTC Markets, we all win together.
We invest heavily in employee satisfaction and offer all our employees a highly competitive compensation package. As a dynamic, growing company that fosters an open culture, we emphasize individual responsibility, innovation and self-discipline. We are looking for someone who wants to make an immediate and lasting impact at a company known for its reputation on quality and achievement.

What you’ll do:

• Be a culture carrier. Legal and regulatory work lies at the heart of what we do, and this highly visible role will interact with business, technology, and support personnel across the company. It is imperative that you seek opportunities to teach, learn and contribute to the growth of our greatest asset, our people.
• Report directly to the General Counsel and manage the Assistant General Counsel in support of all corporate counsel functions, including supporting development of new products and services, implementing and managing company-wide policies and programs; and drafting, reviewing and negotiating contracts with customers, vendors and strategic partners.
• Liaise with financial regulators, including the SEC and FINRA on policy initiatives, regulatory proposals, examinations, compliance and other matters.
• Advocate with regulators, members of Congress and industry groups on policy initiatives related to market structure, capital formation and investor protection, including working with key stakeholders to introduce, support and pass legislation.
• Manage corporate governance matters for publicly traded parent company, including quarterly and annual reporting functions, regular Board meetings, shareholder communications and regulatory filings.
• Manage regulatory matters related to FINRA member broker-dealer subsidiary and three SEC-regulated Alternative Trading Systems (ATSs).
• Maintain comprehensive knowledge and understanding of regulations related to secondary trading of OTC equity securities (e.g. SEC Rule 15c2-11, Rule 144, FINRA Rule 6400 Series) and advise internal and external stakeholders on relevant business decisions.
• Serve as a thought leader on relevant capital markets topics (e.g. market structure, capital formation, secondary trading, digital assets and cryptocurrencies); speak on panels, publish articles and liaise with media

Base Salary: $225,000 to $250,000, DOE. Additional compensation includes discretionary annual cash bonus and discretionary restricted stock awards.

What we’re looking for:

• J.D. degree and U.S. state bar admission
• At least 7 years’ experience at law firm and/or in-house position as corporate or securities counsel in finance, technology and/or capital markets sectors; or similar experience in a regulatory agency, governmental body, or industry group(e.g., FINRA, SEC, Congress)
• Subject matter expertise in securities law (1933 and 1934 Acts) and financial regulation (FINRA Broker-Dealer Rules, Regulation ATS, Regulation SCI), general corporate law and corporate governance,
• Experience representing public companies in securities law matters, including public and private offerings, preparing quarterly and annual reports, interim publications, shareholder communications and investor relations
• Ability to independently identify and address issues across departments, analyze complex agreements and matters accurately and present concise, well-drafted legal reasoning and recommendations to internal and external stakeholders
• Ability to drive company-wide initiatives and advise board members, senior management and external business leaders on complex legal and regulatory issues

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BENEFITS:*

• Generous Paid Time Off (PTO)
• Health, Dental, and Vision Coverage
• Health Savings Account (HSA)
• Flexible Spending Accounts (FSA) Dependent & Healthcare
• Limited Purpose Flexible Spending Account (LPFSA)
• Generous Paid Parental Leave Program
• Annual bonus and Stock Incentive Program
• 401(K) Plan - Retirement
• Commuter Transit & Parking Program
• Income Protection (Life Insurance, Short- & Long-Term Disability)
• Voluntary Benefits (Accident, Critical Illness, & Hospital Indemnity)

For more information about OTC Markets Group, please visit our public policy advocacy and careers page. No calls or e-mails please. No third-party recruiters.
Come as you are and just be you. We are an equal opportunity and e-verify employer and prohibit discrimination and harassment of any kind. All employment decisions are based on business needs, job requirements, and individual qualifications, without regard to race, creed, color, religion, gender, national origin, age, marital status, political belief, physical or mental disability, sexual orientation, military or veteran status, genetic information, family or parental status, gender identity, pregnancy, including childbirth or related medical condition, or any other characteristic protected by federal, state, or local law. We encourage applicants of all ages and backgrounds.
OTC Markets Group Inc. (OTCQX: OTCM) operates regulated markets for trading 12,000 U.S. and international securities. Our data-driven disclosure standards form the foundation of our three public markets: OTCQX® Best Market, OTCQB® Venture Market and Pink® Open Market.
Our OTC Link® Alternative Trading Systems (ATSs) provide critical market infrastructure that broker-dealers rely on to facilitate trading. Our innovative model offers companies more efficient access to the U.S. financial markets.
OTC Link ATS, OTC Link ECN and OTC Link NQB are each an SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker-dealer, member SIPC.
Applicants have rights under the federal law:
Equal Employment Opportunity is the Law
Polygraph Protection Act
FMLA

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Job Type: Full-time

Pay: $225,000.00 - $250,000.00 per year