Broker-Dealer Legal Counsel

US-NY-New York
3 months ago
Corporate professionals
Position type


ITG is looking for an experienced and dynamic Broker-Dealer Legal Counsel to join our Global Compliance team.


Investors around the world receive better returns because of the work we do every day. From traders to technologists and everyone in between, ITGers are passionate about innovating, solving problems and making an impact on the bottom line. Our teams set the bar high and strive to consistently provide best-in-class service to institutional investors around the world.



• Provide senior legal and compliance counsel for the Firm’s U.S. Execution Services, Workflow Technology, and Analytics businesses.

• Focus on compliance best practices with respect to governance, industry initiatives, and effective supervision.

• Provide real-time counsel to senior management and sales trading personnel regarding Firm policy, relevant industry rules and regulations, and appropriate supervisory practices.

• Harmonize the Firm’s Legal, Compliance, Human Resources, and Operational policies and procedures.

• Advise on all governance matters relating to the Firm’s Alternative Trading System, POSIT, including updating the Form ATS and reviewing ATS marketing materials.

• Advise on all aspects of Broker-Dealer governance, including U.S. Market Access Rule Compliance, cross-border trading issues, and the impact of international rulemaking, such as MiFID II.

• Advise on issues relating to Soft Dollars, commission unbundling, and related regulatory requirements.

• Represent compliance for Global New Products matters.

• Oversee the process related to the production and execution of client questionnaires.


• Juris Doctor degree and 7-10+ years’ experience.

• Securities Licenses preferred but not required - Series 7, 24, and 55.

• An understanding of equity market structure and mechanics with an emphasis on electronic equity trading.

• An understanding of the U.S. regulatory environment for broker-dealers including - SEC, NYSE, and FINRA rules; guidance on equity trading, including OATS, FINRA Trade Reporting requirements, market manipulation concerns, and Regulations NMS, ATS, SHO, and the Market Access Rule.

• Industry knowledge sufficient to understand business drivers and to leverage this understanding to create a vision of how risk-based compliance initiatives can work effectively, practically, and coherently throughout an organization.

• Strong verbal and written communication and interpersonal skills. Ability to interact with all levels of Firm employees and articulate concerns concisely and effectively. Strong influencing and partnership skills.

• Strong computer skills e.g., Microsoft Office


• A great place for upward mobility

• Direct exposure to the decision makers and senior leaders on all sides of the business

• The energetic dynamism of financial markets

• Teams that are passionate about continually learning, improving and raising the bar

• A community that values hard work.

• A company that is committed to giving back to surrounding communities, from LA to Hong Kong and Sydney and the 11 locations in between


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