About this opportunity
SIG Susquehanna lists this Regulatory Counsel opportunity in northern, Kentucky. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Overview
Susquehanna has an opportunity for an Attorney to join our Regulatory Counsel Team within our Compliance department in our Bala Cynwyd headquarters. This team provides legal and regulatory guidance to support the firm's compliance program and interfaces directly with trading, technology, operations, and legal teams as well as with external regulators, market participants, and others.
In this role you will:
Advise Susquehanna personnel about regulatory requirements regarding securities, commodities and swaps, particularly focused on matters related to trading and markets
Assess new regulations and their impact on Susquehanna, advise staff, and assist in coordination with other members of the compliance department to implement and/or enhance existing framework
Draft written supervisory procedures and other compliance documents
Support responses to regulatory examinations, inquiries, and requests for information from FINRA, the SEC, and other regulators
What we're looking for
Minimum of 5 years of experience in securities law, broker-dealer compliance, or a related regulatory role (law firm, in-house, or regulator)
Working knowledge of FINRA rules, Securities Exchange Act of 1934, and related SEC regulations
Strong analytical, research, and written communication skills
Ability to manage multiple projects and deadlines independently
Juris Doctor
#J-18808-Ljbffr
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.