Legal Associate
About The Position
Exceptional trading emerges where human intuition meets frictionless experimentation. Our platform and processes enable traders to rapidly investigate ideas, identify emergent patterns, and convert insights into live strategies. This synthesis creates a flywheel of discovery — the key to our pursuit of excellence. The Role: We are looking for a driven Legal Associate to join Summit Securities Group. This is a position designed for an attorney earlier in their career who wants to solve meaningful legal problems while gaining broad exposure to the end-to-end operations of a trading firm. In this role, you will contribute directly to the foundational frameworks that protect our trading lifecycle. You will gain exposure to two primary areas: Commercial & Trading Agreements: Supporting the business by drafting, reviewing, and managing the lifecycle of trading, vendor, and technology contracts. Regulatory & Corporate Governance: Assisting with the maintenance of the firm’s compliance framework, monitoring regulatory developments, and supporting corporate governance initiatives.
Requirements
- Experience: 3+ years of professional legal experience, ideally within a law firm or financial institution.
- Education: A Juris Doctor (JD) from an accredited law school and admission to the bar in New York.
- Core Competencies: Contract Proficiency: Strong command of contract drafting and negotiation. You can write clean, concise, and effective legal provisions.
- Legal Fundamentals: Excellent grasp of corporate law, commercial transactions, and legal research methodologies. You know how to identify risks and propose practical solutions.
Nice To Haves
- Bonus (Broker-Dealer Fluency): While not required, familiarity with the regulatory environment of a broker-dealer (SEC/FINRA rules) is a strong plus. The ability to understand trading operations and interface with compliance frameworks is highly valuable.
Responsibilities
- Draft & Review Contracts: You will help ensure our commercial relationships remain sound by drafting and reviewing NDAs, vendor agreements, and brokerage contracts, ensuring alignment with business objectives.
- Support Regulatory Compliance: Assist in navigating complex regulatory landscapes by researching and monitoring developments from the SEC, FINRA, and CFTC to ensure firm-wide compliance.
- Manage Legal Risk: You will tackle complex challenges—ranging from maintaining corporate records to assisting with internal risk assessments and audits.
- Collaborate Cross-Functionally: Work closely with stakeholders across business development, trading, and operations to facilitate seamless legal integration into business processes.
- Obsess Over Detail: You will uphold high standards of accuracy in legal documentation and research, ensuring that advice given to the business is reliable and actionable.
- Uphold Professional Standards: Champion best practices in document management and process efficiency to ensure our legal operations remain robust and responsive.
Benefits
- We offer competitive compensation packages, 401k matching, gender neutral parental leave, and full medical, dental and vision insurance.
- In-office benefits include lunch stipends, fully stocked kitchens, happy hours, a great location, and amazing colleagues.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
Ph.D. or professional degree
