Associate General Counsel - Regulatory Compliance

New York, NY
Full Time
Practice Areas: Regulatory, Compliance Exp.: 5 - 10 Years
A major global inter-dealer brokerage firm with its Americas operations headquartered in New York City is seeking an attorney with a minimum of five (5) years’ experience to join its legal department and be able to handle a variety of legal and regulatory matters.

Duties include, but are not limited to, CFTC, NFA, SEC, FINRA compliance, corporate governance, contract drafting/review/negotiation, customer inquiries, and related regulatory filings. The ideal candidate should have experience with and knowledge of swaps brokering on the institutional side, swaps executions in general and applicable regulatory frameworks to assist the established SEF.

Duties may include interfacing with the SEF Chief Executive Officer, Chief Compliance Officer and Chief Administration Officer with respect to swaps rules and regulations, the submission of relevant presentations and filings to the appropriate regulatory authorities, proposing and drafting SEF Rulebook updates and amendments, advise the SEF and related affiliates of new developments in swap, futures, and securities laws, with a focus on Dodd-Frank swap rules, and service as Secretary to SEF Board of Directors.

About Tradition America
Tradition America is the Americas inter-dealer brokering arm of Compagnie Financière Tradition and one of the world's largest inter-dealer brokers in over-the-counter financial and commodity related products. Represented in over 30 countries, Compagnie Financière Tradition S.A. is listed on the Swiss stock exchange. Tradition brokers some of the largest transactions in the world between and amongst the largest global financial institutions. Tradition traces its roots to the late 1800’s and is one of the oldest broker/dealers in the United States. The Tradition Group provides broking/intermediation services for the full range of financial products (money market products, bonds, interest rate, currency and credit derivatives, equities, equity derivatives, interest rate futures and index futures) and commodity-related products (energy and environmental products, and precious metals). As a result of Title VII of the Dodd-Frank Act, Tradition formed Tradition SEF and the CFTC granted TraditionSEF registration as a swap execution facility on January 22, 2016.


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