Location – London, UK

Salary – DOE

Qualifications:

• License and qualified Solicitor/ attorney with a degree from an accredited law school.
• Proven relevant legal experience, showcasing strong expertise in trading firms, securities, and derivatives.
• Deep understanding of international financial industry regulations with a focus on securities and derivatives.
• Proficiency in contract drafting, negotiation, and comprehensive legal research.
• Collaborative mindset with proven capability to excel in cross-functional teams.
• Superior organizational, strategic planning, and communication skills with the ability to manage multiple concurrent projects.
• Ability to adapt effectively to a fast-paced and dynamic work environment.
• Exceptional analytical, problem-solving, and communication skills.
• instructing and managing external legal counsel and other junior lawyers
• Producing updates, training and presentations to team members, General Counsel and key stakeholders.
• Legislation and Policy Interpretation: Expertise in analyzing and interpreting legislation, regulations, and policy changes in emerging markets where the company has operations;

Key Responsibilities:

• Strategic Counsel: Provide legal counsel and guidance to various business units within the company on a broad range of legal matters, focusing on financial industry regulations and navigation of multijurisdictional regulatory matters.
• Reporting and Communication: Regularly inform the General Counsel of materially important information, developments, and strategic insights pertaining to global regulatory matters. With the ability to escalate matters that require immediate attention in a timely manner.
• Regulatory specialist knowledge:
  • Advise on the company’s licencing, applications for regulatory approval, horizon scanning, Financial services knowledge of Regulated exchanges and Brokerage firms, with experience of regulatory analysis giving rise to change in operations, systems, reporting, trading and internal management structure;
  • Understand and apply prescribed retail protection regulatory knowledge within financial services sector; Cross-jurisdictional exposure to regulatory legal analysis and legal project management for legal compliance implementation and regulatory change.
  • Regulatory Strategy: Ability to develop long-term strategies that align business objectives with regulatory requirements.
  • Understanding and application of worldwide sanctions regimes and internal upward reporting and mitigation planning
• Contract Review: Understand the company’s risk appetite to collaborate with internal stakeholders to review, draft, and negotiate contracts, agreements, and other legal documents pertinent to trading activities.
• Commercial research and drafting of commercial documentation:
  • Conduct comprehensive legal research and analysis to ensure adherence to international financial industry regulations including securities and derivatives laws. Pro-actively offer legal insights from the research to lead the way on new product offerings, initiatives, and business strategies.
  • Commercial knowledge of key documentation relating to brokerage/ financial services firm (Terms, trading platform agreements)
  • Advisory, BAU business Contract/ software agreements, Financial platform, exchange, ToBs, rulebooks, product specification terms, Contract negotiation and management, Data Privacy, licensing, IP management and product agreements
  • Point person for key business stakeholders (mid and senior level e.g. commercial leads for various product teams, trading team etc)
• RegTech Knowledge: Familiarity with regulatory technology (RegTech) tools that help businesses comply with regulatory requirements more efficiently.
• Knowledge of Data Privacy & Cybersecurity: Expertise in laws like GDPR, CCPA, and cybersecurity regulations that impact businesses, especially in digital transformation.
  • Knowledge and application of company acquisitions process and Legal DD/ KYC assistance and transaction management
• Management of Disputes: Managing Commercial disputes management with senior leadership input
  • Employment law knowledge and employment contracts disputes management
• Company Policies and Education: Assist in developing and implementing company policies and procedures to mitigate legal and regulatory risks associated with trading activities.
• Risk Management: Understand the company’s risk appetite and provide guidance on financial industry regulations, enabling the commercial side to make accurate and informed decisions.

About the Role:

We are seeking an Mid-Senior Counsel with substantial experience operating in the financial markets sector. The incumbent will play a critical role in supporting and maintaining the company’s fast pace towards its vision, strategy, and new operating model. This role will work across multiple jurisdictions, ensuring compliance with regulations while building commercially favourable relationships with our counterparties. This role will require specific experience with brokerages and securities law, with an emphasis on emerging markets.