Regulatory Counsel

Summary

Join the Long-Term Stock Exchange (LTSE), an SEC-registered national securities exchange dedicated to promoting fair and orderly markets and supporting long-term focused companies. As a Regulatory Attorney, you will play a crucial role in ensuring LTSE's compliance with SEC regulations, drafting and submitting rule filings, and providing strategic guidance on regulatory matters. You will work closely with SEC staff, SROs, and internal teams to navigate the evolving regulatory landscape and contribute to LTSE's position as an industry leader in regulatory diligence and governance.

Requirements

• 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

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

Preferred Qualifications

• 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

Benefits

• 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