Associate General Counsel - Enforcement

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Associate General Counsel - Enforcement
The candidate will be assisting the firm’s Chief Counsel on Investigations & Enforcement in handling various regulatory and enforcement-related matters, including handling regulatory inquiries from the SEC, FINRA, CFTC, NFA and other regulatory authorities. Working with outside counsel in managing larger enforcement matters brought by the firm’s regulators. Identifying necessary changes to the firm’s systems and procedures to meet new rules/regulations. Drafting agreements, disclosures, account documentation and website materials. Crafting written instructions for programmers and technical staff to respond to new regulations or to launch new business lines. Should have a Juris Doctor Degree with experience at a law firm, financial services regulatory agency, exchange, or broker-dealer. Must have 5-8 years relevant experience and 3 years experience in responding to government enforcement investigations. Member of the Bar in good standing with solid academic background. The ability to work in a small-team environment and to work independently and to multi-task with minimal supervision is needed.

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