Deputy Regulatory Counsel

OverviewA global financial services firm is seeking a senior attorney to join its Regulatory Counsel team within the Compliance function. This role works closely with senior compliance leadership and plays a key role in advising the firm on regulatory matters across trading, technology, operations, and legal teams. The position involves frequent interaction with external regulators, market participants, and other third parties.Key ResponsibilitiesAdvise internal stakeholders on regulatory obligations related to securities, commodities, and derivatives, with a focus on trading and market structure issuesAnalyze new and evolving regulations, assess their impact on the business, and provide practical guidance to ensure effective implementationPartner with compliance professionals globally to support consistent regulatory frameworks and coordinated approaches across jurisdictionsDraft and maintain written supervisory procedures, policies, and related compliance documentationManage and coordinate regulatory examinations, inquiries, and requests for informationRepresent firm personnel in depositions, testimony, and informal interviewsRepresent the firm and its employees in regulatory enforcement actions, arbitrations, and other litigation mattersEngage and manage outside counsel as appropriateAdvocate for the firm in discussions with regulators and other industry participants on regulatory and policy issuesQualificationsJuris Doctor degree and active bar membershipAt least eight years of experience handling regulatory compliance and litigation matters, with substantive exposure to SEC and/or FINRA issues involving trading and marketsDemonstrated experience operating in a global or multi‑jurisdictional regulatory environmentFirst‑chair experience taking depositions and/or representing witnesses or respondentsStrong judgment, written and oral advocacy skills, and the ability to work effectively with senior business and compliance leaders