Senior Regulatory, Enforcement & Litigation Counsel

description

eToro is the largest social trading platform with over 23 million users. We are a multi-asset platform offering investments ranging from stocks, ETFs to crypto. Our innovative investor education and “Copy Trading” capabilities remain differentiated and innovative. As a growing fintech, our services and offering raise challenging and transformative questions that demand deep experience and a strong grasp of broker dealer, advisory, AML and key states level financial regulations.

This position in the Risk & Regulatory Group is primarily responsible for leading and conducting sensitive and confidential internal investigations. You will also work very closely with the US CEO and senior management team playing a critical part in the shaping of this practice 

Matters that you handle may be triggered via regulatory engagement or via litigation. In addition to internal investigations, this attorney will provide key support in matters involving local, state, and federal regulatory or enforcement authorities, and may support matters involving commercial litigation. Responsibilities include conducting factual investigation, interviewing witnesses, drafting reports, and communicating findings to key partners. The legal matters handled by this attorney involve sensitive and confidential issues of importance to the firm. This attorney also provides legal advice and counseling to operational, risk, and compliance groups in the Company.

Responsibilities:

  • Strategically analyze, develop, and execute investigations on behalf of the Company. Conduct attorney-client privileged investigations, gathering and assessing relevant documents and information; identify and interview key witnesses and partners and engage outside resources as appropriate to assist with investigations. Evaluate trends and themes across investigations for advancement to appropriate personnel.
  • Assist and support external counsel and the Company’s other counsel in investigating significant matters. Participate in strategic and tactical decisions in the investigation. Review invoices submitted for professional services rendered by external counsel and outside vendors hired to assist with the investigation.
  • Possess and apply to investigations a broad knowledge and understanding of the Company and its various businesses, the regulatory framework in which the Company operates, and the broker-dealer and financial services industry generally.
  • Provide to internal partners timely, practical, and understandable advice regarding litigation/arbitration risk and lessons learned in investigating matters.
  • Supervise external counsel and effectively handle investigation-related expenses.
requirements

What we're looking for:

  • 5+ years’ experience conducting sophisticated internal investigations involving the interests of eToro US.
  • Experience handling matters opposite local, state, and/or federal regulatory or enforcement authorities is very advantageous.
  • Experience involving financial reporting, financial services, and financial transactions is very advantageous.
  • Experience working as an attorney at a state or federal regulatory agency is very advantageous.
  • Prior experience practicing law at a major law firm representing financial services firms or in-house with a large broker-dealer and/or investment adviser.
  • Experience in enforcement and litigation matters in financial services, specifically related to securities, advisory and bank regulations. 
  • Experience with FINRA, SEC and State regulators is required. Experience with CFPB, IRS and/or DOL is a plus. 
  • The ability to work reciprocally in a team environment and develop positive working relationships with Company colleagues, external counsel, and other constituents
  • Sound judgment that often must be exercised in sophisticated or unexpected circumstances
  • Outstanding written and oral communication skills
New York Metropolitan Area
location
Legal
department
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