Regulatory Counsel

MIAX Miami International Securities Exchange

Princeton , New Jersey

We are currently looking for an attorney to join the regulatory team of the MIAX Exchange Group. The attorney will report directly to the CRO/CCO and provide guidance to the regulatory, membership and compliance teams. The attorney will interact and provide guidance to senior management, technology departments and business operations as needed. The attorney will also work closely with the Office of the General Counsel on various legal and regulatory projects.

Roles and Responsibilities include:

  • Provide legal and regulatory guidance regarding exchange, SEC, and FINRA rules
  • Provide legal and regulatory guidance regarding market structure
  • Coordinate and provide legal and regulatory guidance on SEC Examinations and Internal Audit reviews
  • Review and advise on the creation and maintenance of company policies and procedures
  • Manage relationships with SEC and other regulators on behalf of the options and equities exchanges
  • Participate on industry-wide committees
  • Advise the CRO/CCO on day to day issues within the industry, department and organization
  • Handle a number of other general regulatory matters. Assist with various regulatory projects across the team and perform other duties as assigned.

Qualifications
  • Member in good standing with a state bar
  • 5-10 years relevant legal experience
  • SEC or SRO experience required
  • Strong knowledge of securities laws
  • Knowledge of equity and options market structure required
  • Strong attention to detail and the ability to articulate complex concepts with the level of detail that is necessary for various regulatory issues and other written communications
  • Ability to work independently and to work cooperatively in group situations; offer assistance and support to co-workers; balance team and individual responsibilities; exhibit objectivity and openness to others’ views; give and welcome feedback
  • Proven analytical and problem solving skills
  • Ability to organize and prioritize work assignments; strong time management experience and skills; and ability to complete multiple tasks simultaneously with accuracy and quality, to adjust to changes in priorities and situations, and to meet deadlines

If you are interested in applying for a position, please send your resume, cover letter and salary requirements to Careers@Miami-Holdings.com

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