Deputy General Counsel - Regulatory, Enforcement And Litigation Counsel Jobs in District_of_Columbia - 143856 | Submit Resume | General Counsel Consulting
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Melinda Burrows
Deputy General Counsel
- Litigation and
Compliance, Progress
Energy Service Company
LLC
 

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Deputy General Counsel - Regulatory, Enforcement And Litigation
Refer job# BYOM143856
 
Deputy General Counsel - Regulatory, Enforcement and Litigation The candidate will join the senior management team in firm Legal and Compliance Department and will work with the Firms General Counsel and the Firms Chief Regulatory Officer in handling various regulatory, enforcement and litigation-related matters, including: Helping the Firm continue to build a responsive, full-service Legal Department in response to rapid growth in the Firms existing business and new business lines. Handling regulatory inquiries from the SEC, FINRA, CFTC, NFA and other regulatory authorities. Evaluating the legal and regulatory impact of new proposed business lines or offerings. Identifying and designing necessary changes to the Firms systems and procedures to address new rules and regulations. Crafting written functional specifications or instructions for programmers and technology staff to respond to new regulations or to launch new business lines. Drafting and reviewing agreements, disclosures, account documentation and website materials. Working with the firms Chief Litigation Counsel on staffing and strategy for responding to litigation and significant litigation matters. The position has a high potential for career advancement at the company, success will require great attention to detail and learning and mastery of the Firms business lines and technology. This is a hands-on role involving both management and significant personal handling of project work. Interactive Brokers has a solid and experienced legal team and the majority of legal and regulatory work is performed in-house.

The candidate mus be member in good standing of the bar of any U.S. state or the District of Columbia. Should have solid academic background. Should have 15+ years post-J.D. experience at a law firm, broker-dealer, financial services regulatory agency or securities exchange. Must have significant experience in broker-dealer regulation and enforcement.
 
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This particular job is currently not active. However, since our clients regularly share with us similar and other job openings, we strongly recommend that you submit your resume. We shall review your resume and get in touch with you as soon as a suitable vacancy comes up to further discuss your interest in exploring the opportunity. Assisting you is our highest priority.

Please be assured that none of your materials will be forwarded to any employer without your consent. Of course, all inquiries are kept strictly confidential.
 
 

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