New Jersey, Tampa
Posted 4 months ago

RESPONSIBILITIES:

  • Operate as U.S. counsel to senior management in clearing agency businesses.
  • Provide accurate, timely legal and regulatory advice in the development and structuring of new business initiatives, including new products and service offerings.
  • Support the continuous improvement of standard form agreements, contract processes and policies and procedures.
  • Support audit and examinations relating to clearing agency businesses and related communications with the Securities Exchange Commission (SEC).
  • Collaborate with members of the legal department and external counsel, Compliance, Sales, Product, Finance and other functional areas as needed to support all of the above.
  • Handle other corporate legal matters as requested.
  • Mitigates risk by following established procedures, spotting errors and demonstrating ethical behavior.
  • **NOTE: The Primary Responsibilities of this role are not limited to the details above. **

QUALIFICATIONS:

  • 7+ years of related experience
  • J.D. from law school; admission to New York or New Jersey Bar
  • Minimum of 4 years training with a premier law firm, financial services firm and/or financial services regulator

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