JOB DESCRIPTION

Securities Regulation Attorney
Location:Philadelphia Area

Overview

SIG has an opportunity for an Attorney to join our Regulatory Counsel Team in our Bala Cynwyd headquarters. This team supports a wide variety of issues across the firm and interfaces directly with trading, technology, operations and legal teams as well as with external regulators, market participants, and others.

 

If you join us, you will:

  • Advise SIG personnel about regulatory requirements regarding securities, commodities and swaps, particularly focused on trading and market issues
  • Assess new regulations and their impact on SIG, advise appropriate staff, and assist in coordination of SIG compliance
  • Draft written supervisory procedures and other compliance documents
  • Coordinate with SIG staff to address regulatory examinations and inquiries, including preparation of response letters
  • Represent SIG personnel at depositions and informal interviews
  • Represent SIG and its personnel in disciplinary matters, arbitrations and other litigation
  • Coordinate with outside counsel as needed
  • Represent SIG before regulators and other parties regarding industry issues and concerns
  • Assist in the promotion of SIG compliance culture

Who We Are
SIG is a global quantitative trading firm founded with an entrepreneurial mindset and a rigorous analytical approach to decision making. We commit our own capital to trade financial products around the world. Building virtually all of our own trading technology from scratch, we are leaders and innovators in high performance, low latency trading. We value decision making and asking questions, and we pride ourselves on the fact that working at SIG is more than just a job.


What we're looking for
  • Minimum of 8 years of experience in the are of securities broker-dealer regulation and/or compliance, particularly related to trading and market issues
  • Previous experience at the Securities and Exchange Commission or a Self-Regulatory Organization preferred
  • Demonstrated experience working in support of Securities Act of 1934 matters
  • First chair experience taking depositions and/or representing deponents
  • Juris Doctor

 

 

SIG is not accepting unsolicited resumes from search firms. All resumes submitted by search firms to any employee at SIG via-email, the Internet or directly without a valid written search agreement will be deemed the sole property of SIG, and no fee will be paid in the event the candidate is hired by SIG.

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