Back to jobs
New

Senior Regulatory and Securities Attorney

New York

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

  • Serve as lead in-house resource on U.S. securities law, including the Securities Act of 1933, Exchange Act of 1934, Investment Advisers Act, and applicable FINRA/SEC rules.
  • Advise business, trading, and operations teams on broker-dealer regulatory requirements, trading practices, and new product development.
  • Provide legal guidance on digital asset classification, tokenized securities, and application of securities frameworks to blockchain-based products.
  • Monitor SEC, FINRA, CFTC, and FinCEN developments; interpret and communicate implications to internal stakeholders.
  • Advise on structuring and launch of new business lines, products, and geographic expansion.
  • Identify legal and regulatory risks and develop practical mitigation strategies.
  • Draft, review, and negotiate commercial agreements, including trading, vendor, technology, and partnership agreements.
  • Provide legal support for strategic transactions, including investments, joint ventures, and acquisitions involving digital-asset businesses or infrastructure.
  • Develop and maintain standard-form agreements, legal playbooks, And knowledge-sharing resources.
  • Collaborate with Global Legal team to promote consistent processes and legal standards across jurisdictions.
  • Manage relationships with outside counsel, including matter scoping, work allocation, and legal spend.
  • Work alongside existing Legal Counsel and other members of the legal team, providing substantive input, collaboration, mentoring, and knowledge-sharing.

What you need to succeed

  • Required
    • J.D. from an accredited law school; active membership in good standing with at least one U.S. state bar (New York strongly preferred).
    • 6 + years of relevant legal experience, with a preference for candidates whose experience reflects substantial hands-on responsibility in a complex, fast-paced regulatory environment.
    • Significant experience at a leading law firm and/or in-house at a financial services firm, broker-dealer, trading firm, or regulatory agency (SEC, FINRA, CFTC).
    • Deep expertise in U.S. federal securities law, including SEC and FINRA rules applicable to broker-dealers.
    • Experience advising on digital assets, cryptocurrency, or blockchain-related legal matters, including token classification, DeFi, and application of securities laws to digital-asset products.
    • Strong understanding of trading and market structure, including equity, fixed income, and/or ETP markets.
    • Excellent written/verbal communication skills; ability to synthesize complex legal issues for non-legal audiences.
    • Strong stakeholder-management skills, sound organizational judgment, and sensitivity to organizational dynamics.
    • A proactive, collaborative, and solutions-oriented communication style.
  • Preferred
    • Experience at or advising a proprietary trading firm, market maker, or exchange.
    • Familiarity with AML/BSA requirements as applied to broker-dealers and digital-asset businesses.
    • Experience with cross-border securities law issues and international regulatory frameworks.
    • Exposure to investment adviser regulations, commodity trading advisor rules, or derivatives/swaps regulatory frameworks.
    • Experience working as part of a global or multinational Legal function.
    • Prior experience mentoring or supervising junior attorneys or legal professionals.

 

 

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.

#LI-MM1

 

Create a Job Alert

Interested in building your career at Flow Traders? Get future opportunities sent straight to your email.

Apply for this job

*

indicates a required field

Resume/CV*

Accepted file types: pdf, doc, docx, txt, rtf

Cover Letter

Accepted file types: pdf, doc, docx, txt, rtf

Voluntary Self-Identification

For government reporting purposes, we ask candidates to respond to the below self-identification survey. Completion of the form is entirely voluntary. Whatever your decision, it will not be considered in the hiring process or thereafter. Any information that you do provide will be recorded and maintained in a confidential file.

As set forth in Flow Traders’s Equal Employment Opportunity policy, we do not discriminate on the basis of any protected group status under any applicable law.

Select...
Select...
Race & Ethnicity Definitions

If you believe you belong to any of the categories of protected veterans listed below, please indicate by making the appropriate selection. As a government contractor subject to the Vietnam Era Veterans Readjustment Assistance Act (VEVRAA), we request this information in order to measure the effectiveness of the outreach and positive recruitment efforts we undertake pursuant to VEVRAA. Classification of protected categories is as follows:

A "disabled veteran" is one of the following: a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or a person who was discharged or released from active duty because of a service-connected disability.

A "recently separated veteran" means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service.

An "active duty wartime or campaign badge veteran" means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense.

An "Armed forces service medal veteran" means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985.

Select...

Voluntary Self-Identification of Disability

Form CC-305
Page 1 of 1
OMB Control Number 1250-0005
Expires 07/31/2029

Why are you being asked to complete this form?

We are a federal contractor or subcontractor. The law requires us to provide equal employment opportunity to qualified people with disabilities. We have a goal of having at least 7% of our workers as people with disabilities. The law says we must measure our progress towards this goal. To do this, we must ask applicants and employees if they have a disability or have ever had one. People can become disabled, so we need to ask this question at least every five years.

Completing this form is voluntary, and we hope that you will choose to do so. Your answer is confidential. No one who makes hiring decisions will see it. Your decision to complete the form and your answer will not harm you in any way. If you want to learn more about the law or this form, visit the U.S. Department of Labor’s Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp.

How do you know if you have a disability?

A disability is a condition that substantially limits one or more of your “major life activities.” If you have or have ever had such a condition, you are a person with a disability. Disabilities include, but are not limited to:

  • Alcohol or other substance use disorder (not currently using drugs illegally)
  • Autoimmune disorder, for example, lupus, fibromyalgia, rheumatoid arthritis, HIV/AIDS
  • Blind or low vision
  • Cancer (past or present)
  • Cardiovascular or heart disease
  • Celiac disease
  • Cerebral palsy
  • Deaf or serious difficulty hearing
  • Diabetes
  • Disfigurement, for example, disfigurement caused by burns, wounds, accidents, or congenital disorders
  • Epilepsy or other seizure disorder
  • Gastrointestinal disorders, for example, Crohn's Disease, irritable bowel syndrome
  • Intellectual or developmental disability
  • Mental health conditions, for example, depression, bipolar disorder, anxiety disorder, schizophrenia, PTSD
  • Missing limbs or partially missing limbs
  • Mobility impairment, benefiting from the use of a wheelchair, scooter, walker, leg brace(s) and/or other supports
  • Nervous system condition, for example, migraine headaches, Parkinson’s disease, multiple sclerosis (MS)
  • Neurodivergence, for example, attention-deficit/hyperactivity disorder (ADHD), autism spectrum disorder, dyslexia, dyspraxia, other learning disabilities
  • Partial or complete paralysis (any cause)
  • Pulmonary or respiratory conditions, for example, tuberculosis, asthma, emphysema
  • Short stature (dwarfism)
  • Traumatic brain injury
Select...

PUBLIC BURDEN STATEMENT: According to the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. This survey should take about 5 minutes to complete.

We use Greenhouse’s AI-powered Talent Matching tool to help compare applications against the requirements of the role. This technology is used solely to support the recruitment process by highlighting potentially relevant skills and experience.

The tool does not make hiring or screening decisions on behalf of Flow Traders. All applications and CVs are reviewed by members of our recruitment team, and all hiring decisions are made by humans.

Learn more