Director, Compliance & Legal

Company: eFinancial Careers
Location: New York , New York, United States
Type: Full-time
Posted: 24.JUN.2020

Summary

Fintech with a digital asset focus is seeking an experienced compliance and legal professional to join their team. As a key senior member o...

Description

Fintech with a digital asset focus is seeking an experienced compliance and legal professional to join their team.

As a key senior member of the compliance and legal team, the successful candidate will:
-assume responsibility for a wide variety of compliance, legal and regulatory matters;
-lead the ongoing development of robust compliance policies and procedures;
-be the primary point of contact with regulators (ie: CFTC, FED, SEC);
-respond to all regulatory inquiries;
-assist in coordinating audits and regulatory exams;
-draft and negotiate agreements with clients and vendors;
-oversee all trading surveillance;
-provide input internally regarding new initiatives and products;
-interface with senior management regarding legal rulings.

The successful candidate should possess:
-10+ years' compliance/legal/regulatory financial services experience with broker/dealer, clearing house, exchange, FCM, investment bank, law firm, regulator (CFTC, FED, FINRA, SEC) or utility;
-Derivatives/Clearing background strongly preferred;
-Deep knowledge of traditional asset classes (ie: equities, fixed income, futures, options etc) and their derivatives, as well as emerging digital assets (ie: cryptocurrency)
-Ability to build and maintain key relationships with regulators;
-Ability to operate semi-autonomously;
-JD strongly preferred;
-Practicing Attorney strongly preferred;
-Outstanding verbal and written communication skills;
-High degree of ethics and integrity.

For more detailed information, please apply with your resume.

 
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