Deputy Regulatory Counsel

A global financial services firm seeks a Deputy Regulatory Counsel in Philadelphia to join its Compliance team. The role works closely with senior leaders to advise on securities, commodities, and swaps regulation, supporting teams across trading, technology, operations, and legal, while engaging with external regulators. It offers a strong platform to shape policy, handle complex compliance matters, and grow in an inclusive, flexible, and collaborative workplace.

Key Responsibilities:

As Deputy Regulatory Counsel, you will help shape the firm’s regulatory compliance strategy. You will advise teams on securities, commodities, and swaps regulations while partnering with trading, technology, operations, and legal stakeholders. The role includes reviewing new regulations, drafting supervisory procedures, and coordinating responses to regulatory inquiries. You may also represent personnel in interviews, depositions, disciplinary matters, and litigation, while working with external counsel and regulators. Success requires strong communication, attention to detail, sound judgment, and a collaborative approach.

• Advise staff on securities, commodities, and swaps regulations, with a focus on trading and market issues.
• Assess new regulations, explain business impact, and support compliance initiatives.
• Draft supervisory procedures and other key compliance documentation.
• Manage responses to regulatory exams and inquiries, including preparing response letters.
• Represent personnel in interviews, depositions, disciplinary matters, and liaise with regulators or external counsel.

Key Requirements:

The ideal candidate will have strong experience in regulatory litigation or compliance, particularly in trading and market issues involving SEC or FINRA regulations. They should bring first chair deposition experience or have represented deponents in legal proceedings. A Juris Doctor and admission to practice law are required, with additional securities law expertise considered a plus. Strong writing skills are essential for drafting supervisory procedures, compliance documents, and regulatory responses. Success in this role also requires cross-functional collaboration, experience engaging with regulators, and the ability to promote a strong culture of compliance.

• 8+ years of experience in regulatory litigation or compliance, with strong knowledge of SEC or FINRA trading and market rules.
• First chair deposition experience or proven ability to represent deponents in legal proceedings.
• Juris Doctor degree required, with admission to practice law in the relevant jurisdiction preferred.
• Strong written communication skills, including drafting supervisory procedures and compliance documentation.
• Excellent collaboration and stakeholder management skills, with experience engaging regulators and promoting a culture of compliance.

What sets this company apart:

This global financial services firm stands out for its inclusive culture and commitment to employee growth. It offers flexible working arrangements, strong training programs, and opportunities to build both technical and interpersonal skills. With supportive leadership and cross-functional collaboration, employees are empowered to develop professionally while contributing in a meaningful and connected workplace.

What’s next:

If interested in this position, please contact Robert Moseman at robert.moseman@robertwalters.com