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RQD Clearing is a modern, cloud-native clearing firm providing clearing, custody, and execution solutions to broker-dealers and fintech companies. The company is backed by ABN AMRO Bank and Nyca Partners and is finalizing Series B funding.
The General Counsel will serve as the company's senior legal executive and trusted advisor to the CEO, Board of Directors, and leadership team. This is a hands-on role requiring deep expertise in SEC and FINRA regulation applicable to broker-dealers, particularly in carrying, clearing, and custody businesses.
Key responsibilities include:
- Advising on SEC and FINRA regulatory strategy, examinations, and enforcement matters
- Supporting new product development including securities lending, portfolio margin, digital assets, and tokenized securities
- Negotiating and drafting complex commercial agreements (clearing, custody, brokerage, technology, vendor, and strategic partnerships)
- Partnering with Compliance and Risk on client activity, account restrictions, and cross-border matters
- Overseeing corporate governance, Board matters, financings, acquisitions, and corporate transactions
- Managing employment matters, litigation, investigations, subpoenas, privacy, cybersecurity, and IP
- Building scalable legal processes, templates, and approval frameworks
- Identifying and communicating material legal and regulatory risks to senior management and the Board
Required qualifications include a JD from an accredited law school, active bar membership, 8+ years of relevant legal experience, significant experience advising SEC- and FINRA-regulated broker-dealers, deep knowledge of carrying/clearing/custody regulatory frameworks, direct experience with securities regulatory examinations or investigations, strong knowledge of broker-dealer financial responsibility and customer protection rules, experience advising senior executives and boards, and ability to negotiate sophisticated financial services agreements.
