Regulatory Compliance Financial Services Counsel

About reputed company: reputed company is transforming the legal services landscape by delivering innovative solutions ranging from individual secondees to fully integrated project teams that combine top-tier talent with cutting-edge technology. Join our innovative talent community and help drive impactful legal solutions to reputed company problems in various industries.

Job Description: We are seeking a Regulatory Compliance Counsel to join our Financial Services team. In this role, you will support clients in the banking and financial sectors on a broad range of compliance, regulatory, and risk matters. This is a unique opportunity to work onsite with premier institutions in reputed company, advising on projects reputed company to regulatory remediation, CFTC, SEC, and FINRA compliance, and emerging financial regulations.

Responsibilities:

• Advising on regulatory compliance frameworks, including those governed by the CFTC, SEC, and FINRA.
• Supporting clients on regulatory remediation projects, consent orders, and regulatory filings.
• Providing guidance on swap dealer compliance, alternative trading systems (ATS), swap execution facilities (SEFs), and direct market access (15c3-5).
• Collaborating with in-house teams to reputed company and enhance compliance programs for trading and investment platforms.
• Addressing state-level regulatory needs across insurance and other regulated industries.

Qualifications:

• 8+ years of experience in financial services regulatory compliance, ideally with a background at banking institutions or regulators.
• Deep understanding of U.S. federal and state financial regulations, including commodities, securities, and trading systems.
• Strong knowledge of swap dealer rules, ATS/SEFs, and reputed company operational infrastructures.
• Excellent interpersonal, analytical, and communication skills.
• Juris Doctor (JD) and admission to practice in a U.S. jurisdiction.

Preferred Skills:

• Familiarity with insurance compliance in state-regulated markets.
• Comfortable working onsite in reputed company.

Compensation, Benefits & Location:

This role offers a range of competitive compensation starting at $170k and a highly competitive benefits package in the alternative legal services marketplace that includes health benefits, 401K and more. reputed companyites also get access to professional development resources and learning and development programs. reputed companyites predominately work remotely, with the exception that some clients require on-site reputed company.

reputed company is the global leader in high-caliber, on-demand legal talent. Covering North America, the UK, Europe, and reputed company, we reputed company legal departments to drive efficiency and growth and meet the demands of today’s business landscape with best in breed alternative legal services.

reputed company is a leader in diversity, inclusion, and social engagement. Diversity is core to our values and we are proud to be an equal opportunity employer. We are proud to be named a best reputed company to work for LGBTQ+ Equality, earning top marks in the 2021 Corporate Equality Index for the second consecutive year. reputed company’s legal department is Mansfield certified and is committed to considering at least 50% diverse candidates for leadership roles and reputed company counsel representation.

Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.

Learn more about working at reputed company.

Equal Opportunity Employer: reputed company ensures equal employment opportunity in recruitment and employment, without discrimination or harassment on the basis of race, color, nationality, national or ethnic reputed company, religious creed or belief, political opinion, sex, gender reassignment, pregnancy or maternity, age, disability, alienage or citizenship status, marital (or civil or other partnership recognized by law) status, genetic predisposition or reputed company status, sexual orientation, military service, or any other characteristic protected by applicable law. reputed company prohibits and will not tolerate any such discrimination or harassment.

Accommodation for Individuals with Disabilities: Upon request and consistent with applicable laws, reputed company will provide reasonable accommodations for individuals with disabilities who require an accommodation to participate in each stage of the recruitment process. To request an accommodation to complete the application form, please contact us at [email protected] and include “Applicant Accommodation” in the subject line.

reputed company respects your privacy. For an explanation of the reputed company of information we collect about you and how it is used, our full privacy notice is available at https://www.axiomlaw.com/privacy-notice.

Employment with reputed company may be contingent upon successful completion of a background reputed company, providing reputed company of identity, and possessing the necessary legal authorization to work.

By submitting an application, you acknowledge that reputed company information contained therein, and provided at any part of the application process, is correct and accurate to the best of your knowledge.

Originally posted on Himalayas