Junior Legal Counsel (Litigation & Regulatory) - VN2003

Marex•New York, NY

About The Position

Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a major franchise in many major metals, energy and agricultural products, executing around 50 million trades and clearing 205 million contracts in 2022. The Group provides access to the world’s major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers. With more than 35 offices around the globe, and over 2,300 dedicated people enabling access to exchanges and technology-powered services. For more information visit www.marex.com Purpose of Role: The Junior Legal Counsel assists the Senior Counsel in all areas covered by Marex’s Legal Department in North America and develops into areas of greater responsibility. This indidivual will focus on reviewing and negotiating vendor contracts, supporting senior attorneys in litigation and regulatory matters, and driving the adoption of new legal technologies. This position is ideal for a proactive, intellectually curious attorney who thrives in a collaborative environment and is eager to develop expertise across diverse areas of legal practice. Marex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics. The Legal Department supports functional areas across Marex with timely, focused, practical legal services.

Requirements

JD/LLM from an accredited US law school and admission to a state bar.
At least one to three (1-3) years experience working in a financial services environment, may include experience working at a relevant regulatory agency and/or experience working at a major U.S. law firm for financial services clients.
Demonstrated interest in working in a financial services law.
Excellent verbal and written communication skills
Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

Nice To Haves

Experience dealing directly with market supervision and/or enforcement staff at the DOJ, SEC, CFTC, FINRA, NFA, and commodity/futures exchanges is a plus.

Responsibilities

Provide support to senior counsel in regulatory inquiries, discovery management, subpoena requests, and other internal legal matters.
Liaise with Compliance and business teams to respond to inquiries from regulatory agencies, including the DOJ, SEC, CFTC, FINRA, NFA, and commodity/futures exchanges.
Assess legal risks and collaborate with internal groups and advise managers, senior leaders, and operational teams on legal matters.
Offer counsel on a variety of legal issues and collaborate with both internal and external counsel as needed.
Support HR and Compliance on internal corporate investigations.
Effectively report the status of areas of responsibility on a regular basis to relevant internal stakeholders.
Monitor developments in relevant legal areas in North America and proactively identify legal concepts that Business Partners need to understand and apply into practice.
Distil complex legal issues into workable frameworks or reference guides for Business Partners.
Collaborate and influence stakeholders through oral and written communications.
Ensuring compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.
Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
At all times complying with Marex’s Code of Conduct
To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility
To report any breaches of policy to Compliance and/ or your supervisor as required
To escalate risk events immediately
To provide input to risk management processes, as required.
The Company may require you to carry out other duties from time to time.