We’re on a mission 

At Octaura, we continually evolve markets to unleash value for clients. It is in our DNA to make a difference and do things differently. 

Existing workflows within our markets are painful for clients: they are outdated, overcomplicated, and time-consuming. We want to change that. Octaura fundamentally rebuilds and redefines the markets by streamlining workflows, digitizing platforms, and bringing transactions, data, and analytics together for the first time. 

Join our inclusive culture 

At Octaura, everyone belongs. 

It’s so important to us that all Octaurians are confident in knowing they have the space to use their voice and talents. We love the diversity we see in the world, and we actively want our team to reflect this. We’re a values-driven company and by engaging, solving and evolving together, we create a culture that is collaborative, switched-on, and fun to be part of.  

The role in a nutshell 

Octaura is seeking a proactive and experienced legal counsel to manage all legal matters, compliance, and risks. In this leadership position, the Head of Legal & Compliance will contribute to the business strategy and decision-making processes alongside other functional leaders and will oversee the implementation of key processes that relate to legal contracts, disclosures, broker/dealer policies and procedures, supporting corporate governance management.

Core Responsibilities

      • Draft, manage, and/or review all broker/dealer legal agreements including vendor agreements, contracts, NDA, consulting agreements, order routing agreements, disclosure agreements, and broker to broker agreements 
      • Provides legal advice and counsel to the leadership team on all legal matters, working with key stakeholders in overseeing and ensuring legal compliance, maintaining integrity both internally and externally, identifying and managing potential risk 
      • Establish guidelines and protocols, and develop strategies to optimize operations; set up efficient systems relating to compliance of high impact policies, such as anti-bribery and corruption, financial transaction compliance 
      • Handle customer complaints, arbitrations, and litigations as well as oversee the work of outside counsel on such matters 
      • Respond to regulatory inquiries and enforcement matters, provide guidance to executive management on industry and firm related regulatory matters; manage regulatory filings 

Desired experience 

      • 7-10 years relevant experience across comparable in-house positions and/or a major U.S. or international law firm 
      • J.D. from accredited law school, admitted to practice and in good standing with relevant state bar 
      • Ability to handle significant regulatory matters independently 
      • Familiarity with U.S. and/or global securities laws 
      • Understanding of industry specific issues and FINRA Rules 
      • Excellent written and oral communication skills and strong organizational skills 
      • Ability to prioritize amongst competing and changing deadlines 
      • Experience with E&O, D&O and Fidelity matters 

We’re committed to equal opportunity employment 

Octaura is committed to a diverse and inclusive workplace. We are an equal opportunity employer and do not discriminate on the basis of race, national origin, gender, gender identity, sexual orientation, protected veteran status, disability, age, or other legally protected status.