We're currently working with a well-capitalised, high-growth FinTech serving institutional clients across equities and futures markets. The business operates a US-registered broker-dealer (SEC, FINRA, CFTC and NFA) alongside a technology and research arm. This is a newly created role supporting the General Counsel/CCO, offering diverse exposure across commercial contracts, regulatory compliance and corporate legal work. It suits someone who wants genuine ownership and visibility rather than a narrow lane in a large legal/compliance function.
Key Responsibilities
- Review, negotiate and advise on client, vendor, IT, licensing and employment agreements, and standardise contract and onboarding documentation as the firm scales
- Own market data licensing arrangements with domestic and foreign exchanges — a significant and growing area of the workload
- Support the firm's regulatory compliance programme across SEC, FINRA, CFTC and NFA obligations, including policies, WSPs and registration oversight
- Manage regulatory examinations, inquiries and filings, and act as a point of contact in dealings with regulators
- Advise business, sales, HR and operations teams on legal and compliance risk, identifying and mitigating exposures as they arise
- Review and approve marketing materials, research publications and client communications
- Track regulatory developments across US and international markets and translate them into practical guidance for the business
Experience Required
- Post-qualification experience gained at a financial services–focused law firm, in-house at a broker-dealer, electronic trading firm, or with a regulator; JD strongly preferred but not essential
- Strong working knowledge of SEC, FINRA, CFTC and NFA rules as they apply to a registered broker-dealer
- Strong knowledge of commercial contracts experience — client, vendor, licensing and technology agreements
- Understanding of US equities market structure and/or futures markets; electronic or algorithmic trading exposure preferred but not essential
- Commercially minded, hands-on and comfortable operating with autonomy in a lean, fast-moving environment
For more information simply apply to this advert with your updated CV or message me directly at
We are committed to equal opportunity and welcome applications from all qualified candidates regardless of race, colour, religion, sex, sexual orientation, gender identity, national origin, age, disability, veteran status, or any other protected characteristic. All applications will be assessed solely on merit, skills and experience.