Associate General Counsel & Director, Global Equities
Current• Advise on the implementation of new and amended SEC and FINRA regulatory initiatives such as Regulations NMS, ATS, SCI, and SHO, best execution requirements, Consolidated Audit Trail (CAT), SEC’s market structure proposals, electronic recordkeeping rule amendments (Rule 17a-4) and T+1.• Provide legal guidance with respect to regulatory requirements during operational build out of new products and functionality within the firm’s alternative trading system (ATS), smart order router (SOR) and trading algorithms.• Counsel senior management and make recommendations to the board regarding complex legal issues impacting the firm.• Collaborate with internal business clients to ensure that new business products and initiatives are developed in an optimized manner and in compliance with the applicable regulatory framework.• Provide timely and actionable legal advice to senior management and business clients in response to incident management and significant business disruptions.• Manage legal responses and interact with securities and prudential banking regulators in connection with regulatory examinations, inquiries, and investigations.• Negotiate contracts and draft legal documentation including disclosures, disclaimers, and regulatory notices.• Proactively monitor new domestic and international regulatory developments impacting the firm and work with control partners and the business to implement new requirements and WSPs in a timely manner.• Work with Global Financial Crimes (GFC/AML) to digest and implement new OFAC sanctions list restrictions under tight timelines to ensure compliance and mitigate regulatory and reputational risk. • Manage outside counsel in connection with litigation, arbitration, and regulatory inquiries and examinations.• Participate in various industry committees, forums, and working groups to represent the firm’s interests in connection with new legislative and regulatory policy developments.
