• Assistant General Counsel - Brokerage Regulatory

    Job Locations US-IL-Chicago
    Posted Date 3 months ago(7/20/2018 1:50 PM)
    Requisition ID
    Professional Area
  • Who We Are

    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.

    About the Role

    E*TRADE is seeking a brokerage regulatory lawyer to provide advice and counsel to the Company’s Brokerage business, primarily located in Chicago. This would include the firm’s trading and customer-facing personnel, as well as equities and derivatives product experts, among others. The successful candidate will have exposure to broker-dealer/FCM legal and regulatory matters, including with respect to the trading and clearing of equities, ETFs, listed options, and futures products. This position will report directly to the Associate General Counsel resident in the Chicago office.




    Specific areas of responsibility include, among others:

    • Advising on new products and services
    • Participating in strategic initiatives, including integration of new businesses and product lines
    • Drafting and negotiating a wide range of agreements
    • Assisting with regulatory requests, examinations and investigations
    • Reviewing customer forms and applications
    • Assisting in the implementation of regulatory changes
    • Providing routine advice on a wide range of issues, particularly as those relate to equities, options and futures, best execution, market structure, operations, margin, and the financial responsibility rules




    • Undergraduate degree from a 4-year institution
    • J.D. from a highly respected law school, with superior academic credentials
    • Member in good standing of a state bar
    • At least 5 years of legal experience in broker-dealer regulation, either in the financial services industry or private practice, or as a regulator
    • Knowledge of and experience with some combination of the Securities Exchange Act, Commodity Exchange Act, Investment Advisers Act, Dodd-Frank, Regulation T, and FINRA and NFA rules
    • Experience drafting and negotiating contracts



    • Results-focused project management and execution skills
    • Excellent analytical, communication, interpersonal, and organizational skills
    • Highly developed written and oral communication skills, with special emphasis on excellent drafting, negotiation skills, and exceptional attention to detail
    • Ability to identify issues and suggest improvements to form agreements, policies, and procedures
    • Excellent organizational and time management skills, strong initiative and hard-wording; ability to prioritize multiple assignments and meet deadlines
    • Highly motivated self-starter

    • Specific expertise in the trading of equities, listed options, and futures is preferred



    We offer a competitive and comprehensive benefits package. Please visit https://www.etradecareers.com/why-work-at-etrade/employee-benefits/ to learn more about the opportunities.

    E*TRADE Financial is an Equal Opportunity Employer who encourages diversity in the workplace. All qualified applicants will receive consideration for employment without regard to race, color, national origin, religion, sex, age, disability, citizenship, marital status, sexual orientation, gender identity, military or protected veteran status, or any other characteristic protected by applicable law.


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