Description
Position Summary:
Under supervision, provide legal and regulatory advice and guidance to assigned operating areas; handle litigation and litigation related matters.
Principal Responsibilities:
- With guidance, defend and prosecute litigation, respond to subpoenas and regulatory requests.
- With moderate supervision act as legal counsel to assigned operating areas of subsidiaries and parent company: provide legal advice and guidance, assume responsibility for regulatory aspects, coordinating projects with legal implications across operating areas, drafting and negotiating agreements and other documents, structuring arrangements to protect legal interests and maintain operations within scope established by laws and policies established by senior management;
- Assist in preparing rule filings for product initiatives and communicate with the SEC and other regulators with respect to such initiatives;
- Handle corporate governance matters, including attending meetings of the Board of Directors and/or its committees and taking the minutes of such meetings;
- Handle routine corporate matters such as participant issues and employment issues; and
- Represent the interests of DTCC and its affiliated entities interests in industry initiatives and projects, may coordinate among counsel representing industry members;
- Work with outside counsel in assigned areas and projects.
- Coordinate with OCRC and Chief Compliance Officer as necessary and appropriate regarding Legal / Regulatory Compliance matters including, but not limited, to AML and OFAC.
Experience:
5+ years of experience (including litigation) at top rated law firm, regulatory agency or similar experience since admission to the Bar.
Knowledge/Skills:
- Knowledge of DTCC and affiliated entities systems, products, procedures, rules and the industry a plus.
- Excellent analytical and communication skills.
- Demonstrated ability to work on cross-functional project teams.
Education, Training or Certification:
Juris Doctorate, Admission to New York Bar
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