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Director, Associate General Counsel

Company: E TRADE
Location: Jersey City
Posted on: May 3, 2021

Job Description:

More than 30 years ago, E TRADE pioneered the online brokerage industry by executing the first-ever electronic individual investor trade. While the landscape of our industry has changed dramatically, our culture of innovation and drive to make online trading accessible to everyone continues to drive us forward. We believe in challenging the status quo, fostering an environment of curiosity and learning, and, above all, putting our customers first.RESPONSIBILITIESSummary: E TRADE is seeking a regulatory lawyer to provide advice and counsel to the Company's E TRADE Digital Direct business line. The successful candidate will have a broad background in broker-dealer regulation, ideally with some subject matter expertise in equities and listed options trading. While the successful candidate will report directly to the Company's Senior Director and Associate General Counsel who is based in Chicago, IL, there is some flexibility in the geographical location of this position. Responsibilities: Specific areas of responsibility include, among others Advising on a wide range of legal and regulatory issues relating to particular products (equities, options, futures), account types (options, margin, portfolio margin), and trading platforms (web, mobile, active trader) Legal coverage of Operations, including fulfillment, core clearing, records management, and brokerage regulatory reporting Legal coverage of securities lending business and other corporate treasury functions Subject matter expert on application of financial responsibility rules Drafting and/or reviewing disclosures, disclaimers, and educational content Partnering with business on product development and service enhancements Drafting and negotiating a wide range of agreements primarily with providers of research, marketing, educational, data services Assisting with regulatory inquiries, examinations, and investigations Reviewing and updating customer agreements, forms, and application Assessing impact of regulatory developments and contributing to implementation of regulatory changes Assisting with E TRADE's integration with Morgan Stanley REQUIREMENTSRequirements: Undergraduate degree from a 4-year institution JD. from a highly respected law school, with superior academic credentials Member in good standing of a state bar At least 8 years of legal experience in broker-dealer regulation in the financial services industry and/or private practice, or as a regulator. Experience with digital retail broker-dealers is a major plus Broad knowledge of and experience with the Securities Exchange Act of 1934, FINRA rules, and Regulation T of the Federal Reserve In addition, we are looking for a candidate with: Highly developed written and oral communication skills, with special emphasis on excellent drafting, negotiation skills, and exceptional attention to detail Highly motivated self-starter Excellent organizational and time management skills, including ability to prioritize multiple assignments and meet deadlines Strong interpersonal skills to foster teamwork, influence decision-making, and maintain effective working relationships with internal colleagues and external clients Ability to identify issues and suggest enhancements to form agreements, policies, procedures, and processes Ability to work independently and as part of a team We offer a competitive and comprehensive benefits package. Please visit to learn more about the opportunities.

Keywords: E TRADE, Jersey City , Director, Associate General Counsel, Other , Jersey City, New Jersey

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