Two Sigma Securities, Broker Dealer Counsel Counsel Jobs in New_York - 161130 | Submit Resume | General Counsel Consulting
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Two Sigma Securities, Broker Dealer Counsel
Refer job# YGID161130
 
Two Sigma Securities, Broker Dealer Counsel Responsibilities: Assist key stakeholders on legal and regulatory matters associated with day-to-day trading activities and business initiatives; Advise on license requirements and applications as we expand into additional international jurisdictions and/or new products, such as trading in cryptocurrencies; Stay informed of emerging and evolving areas of broker-dealer law and regulation, compliance obligations and regulatory examinations; Provide well-researched guidance on compliance with rules and regulations applicable to the global trading of equities, futures and options drawing from industry best practices and regulatory actions; Support the broker-dealer's regulatory compliance department, as needed; and draft and review responses to regulatory inquiries.

Qualifications: Strong academic record with a BA/BS degree and JD Degree required. 8 - 10 years of experience at a top tier U.S. law firm, in the legal department of a major financial services company, and/or at a state or federal regulatory agency. Significant experience with securities and other financial laws including the Securities Act of 1933, Securities Exchange Act of 1934, Commodity Exchange Act, FINRA and exchange rules, and other related U.S. and non-U.S. securities and other financial instrument-related statutes.
 
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