Senior Regulatory and Securities Attorney
Required skills
- J.D
- U.S. state bar
- New York bar
- securities law
- Securities Act of 1933
- Exchange Act of 1934
- Investment Advisers Act
- FINRA rules
- SEC rules
- broker-dealer regulatory requirements
Nice to have
- proprietary trading firm
- market maker
- exchange
- AML/BSA requirements
- cross-border securities law
- international regulatory frameworks
Role summary
Flow Traders is seeking a Senior Regulatory & Securities Attorney with 6+ years of experience to provide senior in-house legal counsel on U.S. securities law, particularly for its ETF, cash equity, digital-asset, and tokenization businesses. The role involves advising trading, business, and operations teams, supporting transactional and regulatory work, and managing legal risk in a fast-paced environment. Key responsibilities include guidance on U.S. securities laws, digital asset classification, market structure, and new business initiatives. The ideal candidate will have significant experience at a leading law firm or financial services company, deep expertise in SEC/FINRA rules, and experience with digital assets and trading. Preferred qualifications include experience with proprietary trading firms, exchanges, and cross-border issues. The role is hybrid in New York City with a salary range of $200,000-$250,000 plus annual discretionary variable remuneration.
Flow Traders is seeking an experienced Senior Regulatory & Securities Attorney to serve as senior in-house legal advisor on U.S. securities law across its ETF, cash equity, digital-asset, and tokenization businesses.
This role will provide legal guidance to trading, business, and operations teams; supports transactional and regulatory legal work; advise on regulatory developments and new business initiatives; and help manage legal risk in a complex, fast-paced, and internationally integrated new environment.
The candidate will work closely with Compliance, Risk, and Business Development, while operating as an integrated member of Flow Traders’ global Legal team. The role will have a meaningful focus on digital assets, tokenization, market structure, and the application of securities laws to emerging financial products and infrastructure.
What you will do
What you need to succeed
At Flow Traders, we acknowledge the importance of open and transparent communication whether it be with our employees, our stakeholders, or our local and global communities. When it comes to salary, Flow Traders uses reliable market research to create base ranges. Where candidates will fall within the range depends on a few different factors including but not limited to level of experience, location, and specific skill set. We also consider ourselves one global team, and to demonstrate that, all employees are eligible to share in the company’s success through an annual discretionary variable remuneration allocated based on company, group and individual performance and contribution.
Per NYC salary transparency law, the total compensation for this role includes a base range of $200,000 to $250,000 plus annual discretionary variable remuneration.
Flow Traders does not accept unsolicited resumes from any professional staffing or search firms. All resumes, and any other information identifying potential candidates, submitted to any employee at Flow Traders via-email, the Internet or directly without a valid and signed search agreement will be deemed free to contact by Flow Traders without any restrictions and no placement fee of any kind will be paid in the event the candidate is hired by Flow Traders.
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