In-House Legal Advisor

2 weeks ago

New York, New York, United States Page Executive Full time

Exciting opportunity for a Fintech organization looking to enhance their In-House legal department.

Work Arrangement: Hybrid model with 2-3 days in the office.

About the Organization

A reputable Fintech firm known for its successful operations. This hybrid position is based in a prestigious office environment. You will collaborate with a talented team on various regulatory and legal matters related to financial services and banking, providing an excellent opportunity for professional growth within a well-regarded company that values its culture and reputation.

Role Overview

As a Legal Counsel within the In-House Legal Team, your responsibilities will include:

  • Interpreting intricate regulatory frameworks and applying them to the company’s array of financial products and compliance solutions.
  • Providing guidance on compliance with the 1940 Act, Securities Act of 1933, Securities Exchange Act of 1934, and FINRA regulations.
  • Identifying and mitigating regulatory and reputational risks associated with product offerings and financial technology services.
  • Collaborating with team leaders to enhance portfolio analytics through robust methodologies and disclosures.
  • Overseeing and refining processes for the review of marketing materials.
  • Developing and improving policies, procedures, and processes for alternative investments and structured product offerings.
  • Engaging with regulatory bodies, including the SEC and FINRA, as well as other external stakeholders.
  • Monitoring developments in SEC/FINRA and SRO rules and informing senior management about regulatory implications.

Candidate Profile

Ideal qualifications for the Legal Counsel/Regulatory Counsel position include:

  • J.D. degree and admission to practice law in at least one U.S. state, in good standing with the state bar.
  • A minimum of 2 years of legal practice, with specialized experience advising investment advisers and/or broker-dealers on regulatory obligations.
  • Strong knowledge of rules and regulations pertinent to investment advisers and broker-dealers, including conflicts of interest and the Marketing Rule.
  • Ability to work independently as well as collaboratively within a broader team.
  • Enthusiasm for a diverse portfolio of work, assisting multiple internal business units, including senior stakeholders.

Eligibility

Candidates must be authorized to work in the U.S. without requiring visa sponsorship.

Compensation and Benefits

As a Legal Counsel/Regulatory Counsel, you will enjoy:

  • A competitive base salary ranging from $200,000 to $280,000, along with bonus, equity, and a comprehensive benefits package, with flexibility in hiring at AVP, VP, or SVP levels based on experience.
  • A hybrid working environment: 3 days per week in the office and 2 days per week working remotely.
  • A comprehensive health insurance plan.
  • Generous paid time off.
  • A healthy work/life balance complemented by an extensive benefits package and well-being perks.

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