Global Markets Legal & Regulatory Compliance Specialist

Madison-Davis, LLC · New york city metropolitan area, United States

A global financial institution is seeking an experienced legal and regulatory professional to support its Global Markets business. This position focuses on negotiating financial trading agreements, managing regulatory obligations, strengthening risk controls, and advising internal stakeholders on legal and compliance matters involving derivatives, fixed income, and other capital markets products.

The ideal candidate brings strong financial markets documentation experience, an understanding of U.S. banking regulations, and the ability to collaborate with trading desks, legal counsel, risk management, and international business teams.

Key Responsibilities

Trading Agreements & Legal Advisory

• Review, negotiate, and maintain legal documentation supporting derivatives, securities financing, and other institutional trading activities, including ISDA Master Agreements, Credit Support Annexes (CSAs), and repurchase agreements.
• Develop and enhance standardized contract templates, negotiation guidelines, and documentation procedures.
• Work closely with internal attorneys, external legal advisors, and international counterparts to resolve contractual matters.
• Provide guidance to business teams on trading documentation, contractual obligations, and associated legal risks.

Regulatory Compliance & Governance

• Evaluate regulatory developments affecting capital markets activities and recommend appropriate business and control enhancements.
• Develop, maintain, and assess compliance policies and internal procedures to support adherence to applicable regulatory standards.
• Coordinate with compliance, legal, and risk functions on regulatory inquiries, examinations, and emerging compliance issues.
• Prepare regulatory assessments, management reports, and implementation recommendations.
• Deliver training on regulatory expectations, contractual requirements, and internal compliance practices.

Counterparty & Credit Risk Oversight

• Partner with credit risk teams to assess counterparty exposures and identify potential credit concerns.
• Monitor financial market developments and counterparty events that could affect existing trading relationships.
• Review credit-related reporting and recommend improvements to risk mitigation processes.
• Maintain records of contractual credit provisions, collateral arrangements, and default-related protections.
• Support trading and risk teams in addressing counterparty disputes, credit deterioration, and potential defaults.

Market & Regulatory Intelligence

• Track changes in financial market regulations, industry standards, and supervisory expectations.
• Assess developments involving U.S. banking and capital markets regulators, including the Federal Reserve, OCC, SEC, and CFTC.
• Produce concise analyses of regulatory changes, market conditions, and their potential impact on business activities.
• Coordinate regulatory initiatives and information requests across domestic and international stakeholders.

Qualifications

Required

• Bachelor's degree, preferably in Law, Legal Studies, or a related discipline; additional coursework in Finance or Economics is beneficial.
• Minimum 5 years of legal experience supporting global markets, derivatives documentation, fixed income, or related financial services activities.
• Experience reviewing or negotiating institutional trading agreements, particularly ISDA documentation, and addressing legal or regulatory matters involving derivatives or bond products.
• Knowledge of capital markets instruments, counterparty risk, and regulatory requirements applicable to financial institutions.
• Strong legal research, contract analysis, documentation review, and written communication skills.
• Ability to manage multiple priorities and collaborate effectively with legal, compliance, trading, and risk stakeholders.

Preferred

• Master's degree, JD, LL.M., or other advanced qualification.
• Admission to the New York Bar or successful completion of the New York State Bar Examination.
• At least 3 years of experience coordinating with regulators, external counsel, or law firms.
• At least 1 year of direct exposure to financial markets business activities.
• Professional fluency in both English and Mandarin Chinese.