Member of Legal Trading and Licensing
You will serve as the legal expert on the Commodity Exchange Act and NFA Rules. You will lead licensing and registration strategy, negotiate margin-lending and regulatory agreements, and embed CFTC and NFA requirements into workflows. You will monitor regulatory changes, lead responses to examinations, and advise on derivatives, new products, and regulatory risk.
Responsibilities
- Advise on Commodity Exchange Act and NFA Rules obligations
- Lead licensing and registration strategy and manage the registration lifecycle
- Navigate regulatory exemption frameworks
- Draft, review, and negotiate margin-lending agreements
- Draft, review, and negotiate ISDA/CSA and regulatory disclosure documentation
- Partner with Trading, Operations, Risk, and Engineering to embed compliance requirements into workflows and platform architecture
- Monitor CFTC mandates and NFA interpretive notices
- Advise the executive team on regulatory impacts to business strategy
- Lead legal responses to regulatory inquiries and NFA examinations
- Develop rules-to-workflow frameworks to prevent regulatory breaches
- Develop products, resolve legal issues, and structure complex agreements with cross-functional teams
Requirements
- J.D. degree with a focus on financial services, commodities, or corporate law
- 4+ years of law-practice experience, including 3+ years focused on CFTC and NFA regulatory matters
- Practical knowledge of the Commodity Exchange Act and Dodd-Frank Act Title VII
- Understanding of OTC products, margin lending, futures, and swaps
- Experience with ISDA/CSA documentation or clearing agreements
- Experience working with Trading, Engineering, and Risk teams to build financial products and resolve jurisdictional issues
- Understanding of digital assets, CFTC/NFA jurisdiction, and the global regulatory landscape
- Ability to manage licensing applications and regulatory audits simultaneously
- Ability to balance commercial growth targets with legal and regulatory compliance
- Previous in-house legal experience at a fintech firm, hedge fund, financial institution, or specialist regulatory practice
- Familiarity with electronic trading platforms, central clearing, and margin and collateral management