Director and Senior Counsel, Regulation and Markets
New
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LTSEFinancial Services
LTSE offers remote employment to candidates who reside in select states.Full-TimeDirector
Salary230,000 - 290,000 USD per year
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Job Details
- Experience
- Minimum of 5 years
- Required Skills
- Compliance
Requirements
- JD degree
- Minimum 5 years of hands-on experience at the SEC, an exchange/SRO, or a law firm covering exchange matters
- Proven experience with the 19b-4 filing process and rule drafting
- Exceptional written and verbal communication skills
- Superior organizational skills
- Adaptable to a fast-paced start-up culture
- Creative problem-solving capabilities
Responsibilities
- 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
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