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Corporate Counsel (Securities Law, Capital Markets, FinTech)

Employer
OTC Markets Group
Location
Baltimore, MD
Closing date
Dec 4, 2021

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Industry
Law
Function
Security Engineer, IT
Hours
Full Time
Career Level
Experienced (Non-Manager)
OTC Markets Group, operator of premier US financial marketplaces, is looking to add a Corporate Counsel to our legal team. Located in Washington, DC or New York City office, this role will report directly to the Associate General Counsel and will serve in a generalist function to support all areas of the business, including: Working with regulators and lawmakers to support regulatory and legislative policy initiatives related to market structure, small public companies, secondary trading, capital formation and investor protection issuesSupporting the Market Surveillance and Corporate Services groups with legal guidance, policies and compliance decisions; manage the Corporation's regulatory response process, including responding to inquiries, subpoenas and regulatory requests from the SEC and FINRA and provide guidance to compliance analysts for regulatory referrals and document productionsAssisting the General Counsel/Chief of Staff in legal employment and labor matters, including the development, implementation and adoption of firm-wide policies (eg Data Privacy, Insider Trading, Equity Compensation)Collaborating with, and provide legal guidance to, product development, technology and marketing teams developing legal-driven technology and compliance solutions to serve broker-dealer, market data and corporate services customersManaging general corporate governance matters for the Corporation, including state and federal filings; supporting public company matters, including annual shareholder meeting, preparing quarterly and annual reportsWorking with outside counsel to manage resolution of third-party adversarial matters (eg, IP infringement, breach of contract, defamation)Drafting, reviewing and negotiating a variety of business line and vendor contracts; supporting business colleagues in responding to customer review of legal contractsThe ideal candidate will have strong subject matter expertise covering general corporate law, securities laws (Securities Act of 1933, Securities Exchange Act of 1934, FINRA rules), broker-dealer, Alternative Trading System (ATS) regulations and experience representing public companies or working in regulatory or capital markets space.Qualifications:JD and NY or DC bar membership or registration as an in-house attorney in DC or NY2-4 years of relevant regulatory agency (SEC, FINRA), law firm or in-house experience What OTC Markets offers its Team Members (why you should choose us):Generous vacation policy in addition to 9 annual holidays observed and Summer Fridays.Snacks and sodas and a very chic coffee bar.Annual bonus and stock incentive program.Office refreshments and company happy hours.Monday Bagels and Friday Pizza.Life and disability insurance, including paid parental leave.Health insurance plans designed to meet the various coverage needs and preferences (Medical, Dental, Vision).Flexible Spending Accounts for health, transit, parking and dependent care, as well as Healthcare Savings. Come as you are and just be you. We are an equal opportunity and e-verify employer and prohibit discrimination and harassment of any kind. All employment decisions are based on business needs, job requirements, and individual qualifications, without regard to race, creed, color, religion, gender, national origin, age, marital status, political belief, physical or mental disability, sexual orientation, military or veteran status, genetic information, family or parental status, gender identity, pregnancy, including childbirth or related medical condition, or any other characteristic protected by federal, state, or local law. We encourage applicants of all ages and backgrounds. OTC Markets Group Inc. (OTCQX: OTCM) operates Open, Transparent and Connected financial markets for 10,000 US and global securities. Through our OTC Link(R) ATS, we directly link a diverse network of broker-dealers that provide liquidity and execution services for a wide spectrum of securities. We organize these securities into markets to inform investors of opportunities and risks: the OTCQX(R) Best Market; the OTCQB(R) Venture Market; and the OTC Pink(R) Open Market. Our data-driven platform enables investors to easily trade through the broker of their choice at the best possible price and empowers a broad range of companies to improve the quality and availability of information for their investors. To learn more about how we create better informed and more efficient financial markets, visit www.otcmarkets.com. OTC Link ATS is operated by OTC Link LLC, member FINRA/SIPC and SEC regulated ATS.No calls or e-mails please. No third-party recruiters.Applicants have rights under the federal law:Equal Employment Opportunity is the LawPolygraph Protection ActFMLA

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