Legal - Associate General Counsel
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Overview
Job Description
Associate General Counsel-Regulatory, Greenwich, CT - Hybrid position, 3 days per week in office required.(multiple positions).
DUTIES: Advise on and represent the brokerage firm's operations ensuring compliance with securities laws and regulations while managing legal risk. Advise the firm on exchange regulations affecting broker-dealer operations and monitor industry developments and regulatory changes affecting the business. Prepare, approve, and negotiate contracts, including vendor agreements, client agreements, and partnership documents. Support regulatory filings and respond to inquiries from the Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), and other regulatory bodies, including Asia Pacific (APAC) based regulatory bodies (Australian Securities & Investments Commission (ASIC), Securities & Futures Commission of Hong Kong (SFC), and Monetary Authority of Singapore (MAS)). Conduct legal research and provide guidance on complex regulatory matters regarding new financial products, services, and technology initiatives. Collaborate with the Compliance Department in the development of policies and procedures and support corporate governance matters and board communications as needed. Coordinate litigation and regulatory proceedings with outside counsel and assist with internal investigations and regulatory examinations.
Hybrid remote work permitted - 3 days in office, 2 days at home.
Requires Juris Doctor or foreign equivalent and 5 years of work experience in the job offered or in a related position for an investment brokerage firm. Must have 5 years of experience in: assessing the application of relevant APAC rules and regulations to broker-dealer operations; advising on the application of the Securities Exchange Act of 1934 to broker-dealer operations; analyzing the application of FINRA and exchange-rules to broker-dealer operations; operations of electronic margin systems, clearing systems, brokerage systems; and advising business and compliance personnel on regulatory requirements of broker-dealer operations. Must have license to practice law from any state, country or territory. Must be in good standing.
Send resume with cover letter to Interactive Brokers LLC, A. Torres, Ref. MK2026. atorres@interactivebrokers.com No calls. EOE
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