Associate General Counsel, Regulatory
Interactive Brokers is looking for a motivated and talented regulatory attorney with experience in securities and broker-dealer issues who is interested in joining the firm's General Counsel office either in Greenwich, CT or Washington, DC. Responsibilities:
Assisting the firm's Chief Regulatory Counsel in handling various regulatory matters, including:
- Evaluating the legal and regulatory impact of new proposed business lines or offerings.
- Advising the firm's Compliance Department and various business lines on federal securities and commodities law, including federal statutes, SEC and CFTC rules, and SRO rules (e.g., FINRA, NFA, CME, etc.)
- Identifying necessary changes to the firm's systems and procedures to meet new rules/regulations.
- Crafting written specifications or instructions for programmers and technology staff to respond to new regulations or to launch new business lines.
- Drafting agreements, disclosures, account documentation and website materials.
- Handling regulatory inquiries from the SEC, FINRA, CFTC, NFA and other regulatory authorities.
- 5-10 years post-J.D. experience at a law firm (with broker-dealer advisory experience), financial services regulatory agency, exchange or broker-dealer. Experience with bank regulatory issues as well is a plus, but not required.
- Experience in handling regulatory and enforcement matters.
- Member in good standing of the bar of any U.S. state or the District of Columbia.
- Solid academic background.
- High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems.
- Outstanding oral and written communication skills
- Ability to work in a small-team environment and to work independently and to multi-task with minimal supervision