Senior Regulatory Strategist

1. Our client, a major ETS noted for its speed, ease of integration, technology, size, market capitalization
and stability, seeks a Senior Regulatory Strategist within their broker-dealer. Description appears below
contact information.
This is a regular full time position located in New York. Desired start date is as soon as possible.
Interested, qualified candidates should email their resume to: dan.ogden@rockwood-
search.com
All inquiries treated confidentially.
Senior Regulatory Strategist
The Senior Regulatory Strategist will not have the traditional line or monitoring functions of compliance,
regulatory or legal officer, but instead will work to keep our client ahead of the regulatory curve with up-
to-the minute, industry-leading compliance and regulatory best practices.
Acting as the thought leader for regulatory interpretation, the Senior Regulatory Strategist will act as the
regulatory liaison representing our client on industry-wide calls lead by the SEC and SROs on issues such
as: limit-up- limit-down, large trade reporting, single stock circuit breakers, market access rule, short
sales, marketwide circuit breaker, and market making.
The Senior Regulatory Strategist will also:
♦ Represent our client as the liaison with clients and industry groups such as the STA, SIFMA and
FIF.
♦ Research, review and summarize current regulatory initiatives from the SEC, FINRA and other
SROs and will compose analytical summaries for executive management.
♦ Provide assistance in the interpretation, compliance and implementation of emerging SEC, FINRA
and other SRO rules.
♦ Coordinate cross-department meetings on new rules and regulations, leading discussions of any
procedural or system changes or modifications with appropriate staff members.
♦ Work with the Marketing Department and Office of General Counsel to update firm summaries
and FAQs on emerging regulatory initiatives as well as the regulatory review webpage.
♦ Serve as point of contact for DTCC and NSCC memberships.
♦ Serve as point of regulatory contact with the SEC, SROs and our client’s corporate parent as
appropriate on pending rules and implementation plans.
♦ Be able to understand and extrapolate the potential impact new rule changes and regulation may
have on customer workflows, integration and system interoperability.
Requirements:
♦ At least 8-10 years of industry experience with a preference to former regulatory experience
(FINRA or SEC preferred), JD or MBA preferred.
♦ Keen knowledge and experience with the regulatory landscape affecting broker-dealers, electronic
trading systems and exchanges (including but not limited to Regulation NMS and the ’33 Act) and
the overall market structure for the equities and options markets.
♦ Must be able to distill complex regulatory matters into digestible descriptions for mass
consumption both internally and externally to clients.
♦ Must be able to interact with and hold the attention of executive management and high level
officers at our major clients and competitors
♦ Operate as an individual contributor but be able effectively influence individuals and groups not
directly under managerial control
♦ Excellent collaboration, analytical and presentation/public speaking skills are of tantamount
importance, as is experience with writing technical and regulatory documents
♦ Highly motivated, self starter who is disciplined and can operate in a dynamic environment and is
appropriately adaptable; the role may be entirely different from one week to the next.