Regulatory Counsel

Overview

Susquehanna has an opportunity for an Attorney to join our Regulatory Counsel Team within our Compliance department in our Bala Cynwyd headquarters.   This team provides legal and regulatory guidance to support the firm’s compliance program and interfaces directly with trading, technology, operations, and legal teams as well as with external regulators, market participants, and others.

In this role you will:

• Advise Susquehanna personnel about regulatory requirements regarding securities, commodities and swaps, particularly focused on matters related to trading and markets
• Assess new regulations and their impact on Susquehanna, advise staff, and assist in coordination with other members of the compliance department to implement and/or enhance existing framework
• Draft written supervisory procedures and other compliance documents
• Support responses to regulatory examinations, inquiries, and requests for information from FINRA, the SEC, and other regulators

What we’re looking for

• Minimum of 5 years of experience in securities law, broker-dealer compliance, or a related regulatory role (law firm, in-house, or regulator)
• Working knowledge of FINRA rules, Securities Exchange Act of 1934, and related SEC regulations
• Strong analytical, research, and written communication skills
• Ability to manage multiple projects and deadlines independently
• Juris Doctor

If you're a recruiting agency and want to partner with us, please reach out to [email protected]. Any resume or referral submitted in the absence of a signed agreement will not be eligible for an agency fee.

#LI-CB1 #LI-Onsite