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Regulatory Counsel in New York at Elevate

Date Posted: 7/12/2018

Job Snapshot

Job Description

Elevate’s Customer, a Global Investment Bank, is looking for a Regulatory Counsel to to assist the wealth management and institutional securities group with a variety of tasks associated with financial services regulations. 

Specifically you will:

  • Perform review and analysis of securities, futures, and other relevant rule changes and regulatory developments to identify and track items relevant to the Firm’s broker-dealers, swap dealers, futures commission merchant, introducing broker, and investment adviser. 
  • Log relevant information regarding regulatory developments in the Firm’s tracking system.
  • Draft communications regarding regulatory developments to relevant Legal and Compliance coverage and business unit personnel.
  • Create and distribute weekly regulatory development reports.
  • Assist in the creation of regulatory matrices outlining state regulatory requirements for specific topics (e.g., senior investors, privacy).
  • Assist with drafting and updating policies and procedures regarding regulatory tracking.
  • Occasional research regarding regulatory developments.
  • Assistance with other projects as needed.


  • 3-5 years' experience with financial services regulation, including SEC, FINRA, CFTC, and securities/futures exchanges.
  • Familiarity with Excel. 

Skills for Success:

  • Able to meet demanding deadlines and a rapid speed of change. 
  • Mature self-starter with a proven record of delivering excellence with exceptional communication and customer service skills.
  • Common sense approach to problem solving and prioritization.
  • Team player who is calm and effective while working in a fast-paced environment.
  • Flexible, open-minded, and comfortable asking questions.


  • Bachelor's degree and JD required.

Elevate is the law company. We provide consulting, technology and services to law departments and law firms. Our global team of lawyers, engineers, consultants and business experts improve efficiency, quality and outcomes for customers worldwide. Elevate’s achievements and distinctions include:

  • Ranked on the Inc. 5000 list of Fastest-Growing Private Companies two years in a row.
  • Ranked as a top Global Services Provider by Chambers & Partners three years in a row.
  • Lead Partner of the FT Innovative Lawyers Awards.

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