The Role
Provide legal and regulatory support for ATS and broker-dealer operations, advise on capital markets and trading platform issues, manage regulatory filings and examinations, draft and negotiate commercial contracts, support policy advocacy, and collaborate cross-functionally on compliance, governance, and product matters.
Summary Generated by Built In
Title: Assistant General Counsel (Capital Markets, Broker-Dealer, FinTech)
Location: New York City
OTC Markets Group is an established financial technology company redefining the future of public markets. We operate trading platforms for the industry’s top broker-dealers to trade over 12,000 securities, from startups to global Fortune 500 companies.
We’re seeking a curious and entrepreneurial lawyer to join our Legal team and help support the Company’s mission both operationally and strategically. This role will report directly to our Deputy General Counsel and serve as a key contributor internally with high visibility across the Company’s business lines as well as with regulators, policy makers, and industry thought leaders.
OTC Markets is currently operating in a hybrid work environment (three days in office, two days remotely).
Required qualifications:
The successful candidate will have:
We invest heavily in employee satisfaction and offer all our employees a highly competitive compensation package. As a dynamic, growing company that fosters an open culture, we emphasize autonomy, responsibility, innovation, and self-discipline. We are looking for someone who wants to make an impressive impact at a company known for its reputation for quality and achievement.
What you will do:
What we offer:
Location: New York City
OTC Markets Group is an established financial technology company redefining the future of public markets. We operate trading platforms for the industry’s top broker-dealers to trade over 12,000 securities, from startups to global Fortune 500 companies.
We’re seeking a curious and entrepreneurial lawyer to join our Legal team and help support the Company’s mission both operationally and strategically. This role will report directly to our Deputy General Counsel and serve as a key contributor internally with high visibility across the Company’s business lines as well as with regulators, policy makers, and industry thought leaders.
OTC Markets is currently operating in a hybrid work environment (three days in office, two days remotely).
Required qualifications:
The successful candidate will have:
- J.D. degree from an ABA-accredited law school, admitted to the New York bar.
- 3+ years of relevant legal experience, at least two of which in a securities/capital markets or related practice group at a leading law firm (V100 or equivalent).
- Strong working knowledge of U.S. securities laws and regulations, including the Securities Act of 1933, the Securities Exchange Act of 1934, regulations applicable to Alternative Trading Systems (ATSs), and SEC/FINRA rules applicable to broker-dealers.
- Ability to quickly understand technology platforms and trading workflows and assess legal and regulatory impact of any changes or disruptions.
- Experience advising on capital markets transactions, public securities trading, secondary market activity, broker-dealer or trading platform operations, and regulatory compliance, as well as on general corporate matters, including drafting/negotiating commercial agreements.
- Demonstrated interest in securities trading and financial markets, including the ability and initiative to monitor and analyze relevant legal, regulatory, market structure, and policy developments.
- Excellent legal judgment, drafting, analytical, and communication skills, with the ability to translate complex regulatory requirements into practical business guidance.
- Desire to work cross-functionally with legal, compliance, operations, technology, product, and business teams.
- Ability to work autonomously and exercise independent judgment with minimal supervision.
- Experience (in legal practice or otherwise) with trading operations and technology or other public securities markets infrastructure.
- Experience with digital assets, crypto or other blockchain-based products.
- Familiarity with global privacy and data protection laws, including U.S. state privacy laws (e.g., CCPA/CPRA), GDPR, or other international frameworks.
We invest heavily in employee satisfaction and offer all our employees a highly competitive compensation package. As a dynamic, growing company that fosters an open culture, we emphasize autonomy, responsibility, innovation, and self-discipline. We are looking for someone who wants to make an impressive impact at a company known for its reputation for quality and achievement.
What you will do:
- Collaborate with, and provide legal guidance to, all business lines and departments across the Company, including product development, technology, compliance, finance, HR, and marketing teams.
- Advise on and support the operation of our ATSs, including by supporting the Broker-Dealer business in managing ATS-related regulatory obligations, drafting Form ATS amendments and other regulatory filings, and engaging with SEC and FINRA staff as needed.
- Communicate with SEC and FINRA staff on regulatory examinations and inquiries.
- Work with state and federal regulators and lawmakers to support regulatory and legislative policy initiatives related to market structure, crypto and digital assets, small business capital formation and investor protection, including drafting and/or reviewing comment letters and blog posts on relevant topics. Check out a sampling of our public policy advocacy here.
- Support the Trading Services, Market Data, and Corporate Services businesses with legal guidance, policies and compliance decisions; advise on the application of new or anticipated legal requirements and regulatory guidance to the Company's systems, policies and procedures.
- Manage general corporate governance matters, including our employee equity compensation program.
- Draft, review and negotiate a variety of business line and vendor contracts. Support the General Counsel/Chief of Staff in the development, implementation and adoption of Company-wide policies (e.g. Data Privacy, Insider Trading, Equity Compensation).
What we offer:
- Generous Paid Time Off (PTO)
- Health, Dental, and Vision Coverage
- Health Savings Account (HSA)
- Flexible Spending Accounts (FSA) Dependent & Healthcare
- Limited Purpose Flexible Spending Account (LPFSA)
- Generous Paid Parental Leave Program
- Annual bonus and Stock Incentive Program
- 401(K) Plan - Retirement
- Commuter Transit & Parking Program
- Income Protection (Life Insurance, Short- & Long-Term Disability)
- Voluntary Benefits (Accident, Critical Illness, & Hospital Indemnity)
- NYC Monday Bagels
- NYC Wednesday Pizzas
We are an equal opportunity and E-Verify employer and prohibit discrimination and harassment of any kind. All employment decisions are based on business needs, job requirements, and individual qualifications, without regard to race, creed, color, religion, gender, national origin, age, marital status, political belief, physical or mental disability, sexual orientation, military or veteran status, genetic information, family or parental status, gender identity, pregnancy, including childbirth or related medical condition, or any other characteristic protected by federal, state, or local law. We encourage applicants of all ages and backgrounds.
Applicants have rights under Federal Law:
Equal Employment Opportunity is the Law
Polygraph Protection Act
FMLA
Pay Transparency Law for Employees/Applicants (P688)
Applicants have rights under Federal Law:
Equal Employment Opportunity is the Law
Polygraph Protection Act
FMLA
Pay Transparency Law for Employees/Applicants (P688)
Skills Required
- J.D. degree from an ABA-accredited law school
- Admission to the New York bar
- 3+ years of relevant legal experience, including at least two years in securities/capital markets at a leading law firm
- Strong working knowledge of U.S. securities laws (Securities Act of 1933, Exchange Act of 1934)
- Knowledge of regulations applicable to Alternative Trading Systems (ATS) and SEC/FINRA rules for broker-dealers
- Ability to quickly understand technology platforms and trading workflows and assess legal/regulatory impact
- Experience advising on capital markets transactions, public securities trading, secondary market activity, and broker-dealer or trading platform operations
- Experience with regulatory compliance, drafting Form ATS amendments, and engaging with SEC and FINRA staff
- Excellent legal judgment, drafting, analytical, and communication skills
- Demonstrated ability to monitor and analyze legal, regulatory, market structure, and policy developments
- Ability to work cross-functionally and autonomously with minimal supervision
- Experience with trading operations and technology or public securities markets infrastructure
- Experience with digital assets, crypto, or blockchain-based products
- Familiarity with global privacy and data protection laws (e.g., CCPA/CPRA, GDPR)
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The Company
What We Do
OTC Markets Group Inc. (OTCQX: OTCM) operates regulated markets for trading 12,000 U.S. and international securities. Our data-driven disclosure standards form the foundation of our three public markets: OTCQX® Best Market, OTCQB® Venture Market and Pink® Open Market. Our OTC Link® Alternative Trading Systems (ATSs) provide critical market infrastructure that broker-dealers rely on to facilitate trading. Our innovative model offers companies more efficient access to the U.S. financial markets. OTC Link ATS, OTC Link ECN and OTC Link NQB are each an SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker-dealer, member SIPC. To learn more about how we create better informed and more efficient markets, visit www.otcmarkets.com.
