Regulatory Counsel

The Role

LTSE is searching for an experienced regulatory attorney with a strong understanding of, and experience with, exchange regulations.  This role requires the ability to interpret regulations, and experience in identifying, drafting and submitting necessary rule filings with the Securities and Exchange Commission.

This role requires a strategic thinker who can navigate the evolving landscape of regulatory standards and expectations, and provide insight to proactively address compliance challenges. The ideal candidate has experience in the day-to-day operations of a national securities exchange, with an ability to comfortably pivot as priorities and deliverables shift. You must be deadline-driven to meet Exchange priorities and must be willing and able to make risk-based recommendations and decisions. Strong communication skills are critical not only in working across the Exchange but also with our regulators and exchange peers. This role is critical to helping position LTSE as an industry leader in regulatory diligence and governance.

Responsibilities

• Identify, draft, and submit rule filings to the SEC, acting as a point of contact with staff of the Securities and Exchange Commission.
• Research and interpret SEC and SRO rules. 
• Review listings applications for compliance with relevant LTSE rules and principles.
• Review and approve marketing materials. 
• Support internal and external regulatory examinations.
• Assist in preparing Board and exchange committee materials. 
• Monitor regulatory developments at the SEC and other SROs.
• Draft policies and procedures reasonably designed to comply with all SEC rules and regulations. 
• Develop and provide enterprise-wide training.

Must Haves

• JD degree with a  minimum of 3 years of hands-on SEC or other exchange/SRO experience, or experience at a law firm covering exchange matters.
• Experience with the 19b-4 filing process and drafting rules. 
• Excellent written and verbal communication skills for interactions with SEC staff, SROs, outside counsel, and Exchange personnel and Board members
• Superior organizational skills adaptable to a start-up culture.
• Creative problem-solver, capable of meeting stringent deadlines and making decisions in a fast-paced environment.
• You are a team player with strong prioritization skills.

Nice to Haves

• Resident of New York Tri-state area with occasional in-office attendance (Financial District location), preferred.
• Experience in exchange listings process and due diligence associated with both new and continuous listings. 
• Experience with a start-up environment.

LTSE's Compensation Philosophy 

LTSE is focused on supporting diversity, equity, inclusion and creating a new standard for how other companies should reward their employees. In order to support equitable pay and ensure there’s no bias in our compensation process, our philosophy is based on the work being performed. To determine the compensation for the role, we take into consideration knowledge, job complexity, and level of experience. We use a data-driven, blended rate approach to ensure we are paying competitively among our peers by benchmarking to companies of similar size and stage, and hire at the 50th percentile (midpoint) of the salary range. 

We review all employee pay and compensation programs annually using multiple databases including Pave, Radford, McLagan, and other peer sets, to ensure competitive and fair pay.

The target salary range for this role is $140,000-$190,000 and is part of a total rewards package, including stock options and benefits

Benefits

Some benefits may only be available for full-time employees. Please check with your recruiter to find out which benefits you are eligible for.

• Drive Innovation. Make an impact working with a mission-driven company that shares your desire to create a new kind of public market.
• Meet Great People. Work with skilled, committed, and supportive teammates, that have a commitment to diversity, equity, and inclusion.
• Achieve Balance. Enjoy the LTSE commitment to a sustainable remote-first work environment, including a flexible vacation policy that requires full-time team members to take a minimum of four weeks vacation per year.
• Prioritize Health. Take charge of your health with rich medical, dental, vision, and EAP benefits. 100% of employee costs are sponsored by LTSE and there is a small, fixed employee contributions for dependent costs.
• Focus on Family. All new parents receive up to 4 months of caregiver leave including 8 weeks of full salary continuation, all while keeping your full company-sponsored benefits for up to the full 4 months.
• Foster Growth. Receive up to $1500 annually towards continuing education and development.
• Invest in Savings. Enroll in our 401k program offered through Human Interest, and other benefit programs offered through Gusto.
• Give Back Donate to organizations of your choice and LTSE will match up to $600 per year.
• Get Started. Launch quickly with your company provided laptop, cell phone reimbursement, and $500 home-office stipend.