Regulatory & Product - Associate General Counsel

Interactive Brokers Group
Washington, New York
Workplace: HybridFull timeFunction: Legal, Risk & ComplianceExperience: 5+ yearsEducation: professionalSkills: ["Analytical thinking","Problem-solving","Collaboration","Communication","Organizational skills","Time management","Independence","Multitasking"]

Join the General Counsel office to support the Chief Regulatory & Product Counsel on U.S. federal commodities and securities regulatory matters. You’ll evaluate new business lines for legal impact, advise Compliance and business teams on SEC/CFTC and SRO rule requirements, and help identify system/procedure changes needed for new rules. The role also includes drafting regulatory and customer-facing documents and responding to inquiries from regulators including the SEC, FINRA, CFTC, and NFA.

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Interactive Brokers Group
Interactive Brokers Group
4 days ago

Regulatory & Product - Associate General Counsel

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Last checked: 2 days agoStatus: Live

Job Summary

Join the General Counsel office to support the Chief Regulatory & Product Counsel on U.S. federal commodities and securities regulatory matters. You’ll evaluate new business lines for legal impact, advise Compliance and business teams on SEC/CFTC and SRO rule requirements, and help identify system/procedure changes needed for new rules. The role also includes drafting regulatory and customer-facing documents and responding to inquiries from regulators including the SEC, FINRA, CFTC, and NFA.
Location: Washington, New York
Workplace: Hybrid
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Mid level

Key Responsibilities

  • •Assist the Chief Regulatory & Product Counsel in handling regulatory matters.
  • •Evaluate the legal and regulatory impact of new proposed business lines or offerings.
  • •Advise Compliance and business lines on federal commodities and securities law, including SEC/CFTC statutes and rules and SRO rules (FINRA, NFA, CME, etc.).
  • •Identify necessary changes to the firm’s systems and procedures to meet new rules and regulations.
  • •Draft agreements, disclosures, account documentation, website materials, and respond to regulatory inquiries from the SEC, FINRA, CFTC, NFA, and other authorities.

Pay and Benefits

Equity and Bonus:Equity
Perks:401kHealth InsuranceDentalVisionPaid ParentalLife InsuranceLong-term DisabilityLearning BudgetEapGym MembershipChildcare Support

Key Requirements

  • •At least 5 years of post-J.D. experience at a law firm, financial services regulatory agency, exchange, broker-dealer, or FCM, preferably with broker-dealer or FCM advisory experience.
  • •Experience handling regulatory and enforcement matters in the commodities/futures commission merchant and related regulatory environment.
  • •Member in good standing of the bar of any U.S. state or the District of Columbia.
  • •Comfort and fluency with computers and technology, including understanding how technology is applied to business and regulatory problems.
  • •Strong oral and written communication skills and ability to work independently with minimal supervision in a small-team setting.
Experience:5+ yearsFinancial servicesCommoditiesFuturesBroker-dealerFCMRegulatoryEnforcement
Education:Professional (JD, MD, etc.)
Skills:Analytical thinkingProblem-solvingCollaborationCommunicationOrganizational skillsTime managementIndependenceMultitasking

Company Brief

Interactive Brokers Group
Operates an electronic trading platform providing brokerage services for individuals and institutions across global markets, offering equities, options, futures, forex, bonds, and related clearing and custody services with advanced trading technology and low-cost executions.
Industry: Trading Platforms
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Greenwich, United States
Founded: 1977
WebsiteLinkedIn