- Identify, draft, and submit rule filings to the SEC
- Act as primary point of contact with SEC staff
- Oversee and mentor junior attorneys
- Advise business and product teams on regulatory interpretation
- Research complex SEC and SRO regulations
- Cover regulatory and industry meetings (CAT, CTA/UTP)
- Contribute to regulatory examinations and responses
- Assist in preparing materials for the Board and exchange committees
- Monitor regulatory developments at the SEC and other SROs
Compliance