Description:
Position Summary:Provide legal support to An Options Exchange Company's U.S. corporate listings business on An Options Exchange Company, including providing legal guidance and advice on numerous related issues related to listing standards and processes, managing regulatory filings, working closely with and advising regulatory staff, and otherwise advising the business team overseeing the U.S. corporate listings business.
Duties and Responsibilities:
Primary legal resource for the Company's U.S. corporate listings business regulated by the SEC
- Review and draft rules and rule filings to the Securities and Exchange Commission to explain the purpose and basis of those rules
- Advise business on regulatory matters, including the timing and likelihood of rule filing approvals
- Prepare complex comment letters, act as liaison between business and SEC in negotiating filings, and respond to inquiries from SEC staff
- Research complex, multi-dimensional issues and provide written memoranda related to the legal issues pertaining to the services provided by the company
- Responsible for steering any rule changes through internal corporate and external regulators' review & approval processes
- Counsel management by identifying issues, conducting research, and drafting documents
- Respond to other general legal matters including those related to securities trading and corporate law issues
- Review regulatory and informational publications
- Monitor new domestic and international regulatory developments that directly or indirectly impact the Company
- Provide legal counsel to the Company in connection with regulatory exams, inspections, and other matters
- Other legal support for company activities
Qualifications:
- Bachelor's Degree and Juris Doctorate required (from an accredited institution)
- Member of applicable state bar
- 8+ years of experience working at a corporation (preferably a U.S. securities exchange) or law firm, with a specialty related to capital markets, public offerings and public company requirements, securities exchange regulations, and/or other securities regulatory matters or related fields of law
- Computer proficiency in Microsoft Office Suite applications including Word, PowerPoint, Excel and Outlook, as well as document management and other office technologies.
Knowledge, Skills, and Abilities:
- Must be politically aware and able to develop business-led solutions while driving the risk management agenda
- Ability to effectively evaluate regulatory requirements, understand their impact on the business, and develop creative solutions
- Highly motivated, strategic, detail-oriented with the ability to pro-actively organize a heavy workload and demonstrate excellent analytical abilities
