Compliance/ Regulatory Derivatives Attorney

| Greater NYC Area
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About Clear Street: 

At Clear Street, we are disrupting the institutional brokerage and clearing market by modernizing archaic industry segments with brand new technology. We’re changing the way institutional investors interact with the markets; offering an alternative to working with big banks. Our cloud-based API technology will empower clients to clear, settle, and finance trading activity while accessing real-time risk and position information. Our platform is built on an incredibly modern tech-stack, by pragmatic engineers focused on building intuitive and frictionless user experiences. Our tech-infused suite of customer experience-oriented prime service offerings will increase our clients’ efficiency and provide real-time insights they’ve never previously experienced.

The Team: 

The Compliance and Legal teams provide support for a multi-asset class prime broker that supports active traders and institutional accounts built on a technologically advanced proprietary platform. The team thrives in working in a fast-paced environment with constantly evolving business opportunities. Regulatory compliance is a key metric by which Clear Street's client's, counter parties, banks, debt holders and investors assess Clear Street's risk. A strong regulatory compliance team focused on building strong relationships with regulators allows Clear Street to expand quickly and to avoid regulatory fines and undertakings.

You will:

  • Be a senior member of each team, serving as a key advisor to the internal stakeholders by reviewing and approving transactions and providing interpretation of the firm’s compliance policies.
  • Construct, implement, and execute the security-based swap dealer compliance program.
  • Contribute leadership to the project of registering with the SEC and assist managing relationships and deliverables with regulatory and accounting consultants, as well as performing legal and compliance reviews of new products.
  • Serve as one of the points of contact with the SEC and manage swaps/derivatives component periodic exams.
  • Implement and maintain a compliance manual and Written Supervisory Procedures reflective of current law, rules, and regulations applicable to security-based swaps.
  • Draft, review, and negotiate ISDA Master Agreements and Credit Support Annexes, Master Securities Loan Agreements, master confirmations, and other security-based swaps trading-related agreements.
  • Work with the derivatives trading desk, as well as Risk, Credit and Onboarding teams to ensure trading agreements are consistent with firm policies and risk mandates.
  • Evaluate and assist with implementation of any information technology solutions related to security-based swaps regulatory compliance.

Requirements:

  • Experience/familiarity with US derivatives regulation under Title VII.
  • Solid overall product knowledge and regulatory experience within the OTC derivatives and swap dealer businesses.
  • Experience writing and implementing policies and procedures, as well as remediating existing ones.
  • Strong research skills; analytical and problem-solving skills; and attention to detail.
  • Ability to identify, develop and recommend "best practices."
  • Excellent writing skills.
  • Must have a JD and at least one state bar admission (good standing and active).

We offer:

  • The opportunity to join a small and growing team of good people, where you can make a difference.
  • A meritocratic philosophy that champions collaboration.
  • Room to innovate, solve complex business problems and build new products.
  • Competitive compensation, benefits, and perks.
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Technology we use

  • Engineering
  • Product
    • GolangLanguages
    • JavascriptLanguages
    • PythonLanguages
    • SqlLanguages
    • ReactLibraries
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    • ExpressFrameworks
    • Node.jsFrameworks
    • SparkFrameworks
    • PostgreSQLDatabases
    • RedisDatabases
    • IllustratorDesign
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    • ConfluenceManagement
    • JIRAManagement
    • GitLabManagement

Location

Located in the heart of the Financial District.

An Insider's view of Clear Street

What are some social events your company does?

We recently started the Women's Club of Clear Street. Once a month we get together and provide a time for the women and allies of our company to connect and engage in meaningful discussion. We're really trying to create a support network for the current and future women of Clear Street.

Carmen

Talent

What are Clear Street Perks + Benefits

Clear Street Benefits Overview

At Clear Street, we understand the importance of showing employees they are valued through competitive benefits and perks. We offer extensive medical and dental coverage at little to no cost to our employees, 401k match, commuter benefits, and a lunch allowance, to name a few. At Clear Street, we consistently strive to improve; exploring new ways to support growth and well-being.

Culture
Friends outside of work
Eat lunch together
Open door policy
Team owned deliverables
Team based strategic planning
Open office floor plan
Health Insurance & Wellness Benefits
Flexible Spending Account (FSA)
Clear Street employees can contribute up to an FSA.
Disability Insurance
Disability insurance covers 60% of annual salary up to $5,000 monthly maximum payout.
Dental Benefits
Our dental plan covers up to $2000 of expenses, annually.
Vision Benefits
Health Insurance Benefits
Life Insurance
Wellness Programs
Retirement & Stock Options Benefits
401(K)
401(K) Matching
Clear Street matches contributions of up to 2% of our employees' salaries.
Company Equity
Performance Bonus
Child Care & Parental Leave Benefits
Flexible Work Schedule
Family Medical Leave
Vacation & Time Off Benefits
Generous PTO
Paid Holidays
Paid Sick Days
Perks & Discounts
Beer on Tap
Casual Dress
Commuter Benefits
Company Outings
Free Daily Meals
Stocked Kitchen
Some Meals Provided
We provide free breakfast options daily. Employees are also given $15 per day to order lunch through our Seamless account Monday through Thursday. On Friday, we offer a pizza lunch, enjoyed together.
Happy Hours
Recreational Clubs
Relocation Assistance
Fitness Subsidies
Professional Development Benefits
Job Training & Conferences
Lunch and learns
Cross functional training encouraged
Promote from within
Customized development tracks
Paid industry certifications
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