Deputy General Counsel

• Be a culture carrier. Legal and regulatory work lies at the heart of what we do, and this highly visible role will interact with business, technology, and support personnel across the company. It is imperative that you seek opportunities to teach, learn and contribute to the growth of our greatest asset, our people.
• Report directly to the General Counsel and manage the Assistant General Counsel in support of all corporate counsel functions, including supporting development of new products and services, implementing and managing company-wide policies and programs; and drafting, reviewing and negotiating contracts with customers, vendors and strategic partners.
• Liaise with financial regulators, including the SEC and FINRA on policy initiatives, regulatory proposals, examinations, compliance and other matters.
• Advocate with regulators, members of Congress and industry groups on policy initiatives related to market structure, capital formation and investor protection, including working with key stakeholders to introduce, support and pass legislation.
• Manage corporate governance matters for publicly traded parent company, including quarterly and annual reporting functions, regular Board meetings, shareholder communications and regulatory filings.
• Manage regulatory matters related to FINRA member broker-dealer subsidiary and three SEC-regulated Alternative Trading Systems (ATSs).
• Maintain comprehensive knowledge and understanding of regulations related to secondary trading of OTC equity securities (e.g. SEC Rule 15c2-11, Rule 144, FINRA Rule 6400 Series) and advise internal and external stakeholders on relevant business decisions.
• Serve as a thought leader on relevant capital markets topics (e.g. market structure, capital formation, secondary trading, digital assets and cryptocurrencies); speak on panels, publish articles and liaise with media

• J.D. degree and U.S. state bar admission
• At least 7 years experience at law firm and/or in-house position as corporate or securities counsel in finance, technology and/or capital markets sectors; or similar experience in a regulatory agency, governmental body, or industry group(e.g., FINRA, SEC, Congress)
• Subject matter expertise in securities law (1933 and 1934 Acts) and financial regulation (FINRA Broker-Dealer Rules, Regulation ATS, Regulation SCI), general corporate law and corporate governance,
• Experience representing public companies in securities law matters, including public and private offerings, preparing quarterly and annual reports, interim publications, shareholder communications and investor relations
• Ability to independently identify and address issues across departments, analyze complex agreements and matters accurately and present concise, well-drafted legal reasoning and recommendations to internal and external stakeholders
• Ability to drive company-wide initiatives and advise board members, senior management and external business leaders on complex legal and regulatory issues

BENEFITS:

• Generous Paid Time Off (PTO)
• Health, Dental, and Vision Coverage
• Health Savings Account (HSA)
• Flexible Spending Accounts (FSA) Dependent & Healthcare
• Limited Purpose Flexible Spending Account (LPFSA)
• Generous Paid Parental Leave Program
• Annual bonus and Stock Incentive Program
• 401(K) Plan - Retirement
• Commuter Transit & Parking Program
• Income Protection (Life Insurance, Short- & Long-Term Disability)
• Voluntary Benefits (Accident, Critical Illness, & Hospital Indemnity)
  

For more information aboutOTC Markets Group, please visit ourpublic policy advocacyandcareerspage. No calls or e-mails please. No third-party recruiters.

Come as you are and just be you.We are an equal opportunity and e-verify employer and prohibit discrimination and harassment of any kind. All employment decisions are based on business needs, job requirements, and individual qualifications, without regard to race, creed, color, religion, gender, national origin, age, marital status, political belief, physical or mental disability, sexual orientation, military or veteran status, genetic information, family or parental status, gender identity, pregnancy, including childbirth or related medical condition, or any other characteristic protected by federal, state, or local law. We encourage applicants of all ages and backgrounds.

OTC Markets Group Inc.(OTCQX: OTCM)operatesregulated markets for trading 12,000 U.S. and international securities.Our data-driven disclosure standards form the foundation of our three public markets: OTCQXBest Market, OTCQBVenture Market and PinkOpen Market.

Our OTC LinkAlternative Trading Systems(ATSs)provide critical market infrastructure that broker-dealers rely onto facilitate trading. Our innovative model offers companies moreefficient access to the U.S.financial markets.

OTC Link ATS, OTC Link ECN and OTC Link NQB are each an SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker-dealer, member SIPC.

Applicants have rights under the federal law:

Equal Employment Opportunity is the Law

Polygraph Protection Act

FMLA