Description
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.
Responsibilities:
- 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.
Requirements:
- 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 qualifications:
- 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.
Benefits:
- Salary range: $200,000 to $250,000 plus annual discretionary variable remuneration.