Senior Counsel (US Regulatory and Policy)

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Requirements:

• 5-10 years (US-qualified) experience as a practising financial markets regulatory lawyer gained in a top-tier US law firm.
• Excellent knowledge of US securities laws, SEC / FINRA regulations and money transmission laws as it applies to proprietary trading firms as well as demonstrable experience dealing with regulatory agencies such as the SEC and FINRA.
• A strong grasp of contractual and commercial issues relevant to proprietary trading firms is strongly preferred (for e.g. experience with drafting and negotiating trading agreements and lending agreements).
• Experience working in a high-performance, dynamic and high-growth environment and leading complex regulatory projects, including considering the need for regulatory licences, preparation of regulatory licence applications and implementation of compliance and operational policies under tight deadlines, with input from internal stakeholders and external counsels.
• Ability to work closely with different stakeholders across time zones to roll out solutions firm-wide to drive the firm’s business objectives whilst being in compliance with its risk management policies and regulatory and compliance requirements.
• An inherent sense of self-motivation to take control and deliver on projects by being hands-on and identifying the right external resources to solve specific questions within a project.
• A healthy dose of common sense, the ability to be nimble and apply legal concepts to problem-solve in a US and non-US context, and willingness to adapt and learn quickly when faced with novel issues.
• Proven track record of working across functions and successfully launching regulated financial products.

Responsibilities:

• Lead and advise the business on issues relating to US financial markets regulations, including securities law issues, as well as develop and implement solutions aligned with Wintermute’s business objectives and its global regulatory and compliance strategy.
• Monitor and assess the cross-border implications of the evolving financial markets regulatory landscape in the US and outside the US as it applies to Wintermute, including emerging proposals from the legislature and the regulators such as the SEC, CFTC, FINRA and IRS.
• Lead on Wintermute’s digital assets policy with leading crypto associations, federal and state regulators, and analyse, consider and comment on proposed bills as they are promulgated.
• Develop regulatory and operational strategy for new products in multiple jurisdictions in coordination with the business and product teams.
• Work independently and collaborate with internal stakeholders and external counsels to develop and maintain appropriate legal contracts and policies as suited for each business line.
• Coordinate and lead Wintermute’s response to regulatory inquiries, examinations or investigations emanating from the US as well as other cross-border regulatory matters as may be required.
• Other legal projects: get involved in a wide range of legal matters depending on skills, preferences and company needs, including trading negotiations, commercial disputes, employment, and corporate projects.