A mid-size brokerage firm in Chicago seeks a 2-4 year generalist attorney who works with contracts as well as regulatory change with some exposure to litigation/pre-litigation


Job Summary


Primary Responsibilities: 

  • Perform oversight and review of contracts including non-disclosure agreements, customer agreements, clearing agreements, technology agreements, guarantees, Service Level Agreements, etc.
  • Negotiate and revise contracts with third parties/vendors
  • Implement new regulatory controls and procedures as requirements change and evolve
  • Perform reviews of new or changed regulations as they apply to the lines of business
  • Serve as regulatory advisor to business units
  • Coordinate litigation related to customer issues as well as pre-litigation disputes
  • Conduct research projects; and participate in ad hoc projects as the needs arise


Required Experience:

  • Minimum 2-4 years at a law firm, government agency or brokerage firm
  • Previous experience in financial services; futures, options or other  derivatives experience a plus
  • Some experience with litigation a strong plus
  • Excellent writing and communication skills
  • Strong critical thinker
  • Independent self-starter with the ability to follow through and complete tasks in a team environment
  • Will be responsible for coordinating with multiple parties, therefore candidate must demonstrate a cooperative attitude and exceptional interpersonal and consensus building skills
  • Must be able to work under pressure and prioritize competing tasks requiring the highest level of attention to detail and accuracy


Please email resumes to JAMES DEFRANCO at James@Compliancesearch.com

…or call 212-997-3163 for more information.

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