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Legal Counsel

2 months ago

New York, New York, United States Page Executive Full time
About Our Client

Page Executive is a leading provider of executive search and recruitment services, specializing in the placement of senior-level professionals in the financial services industry.

We are currently working with a well-established Fintech company that is seeking a highly skilled Legal Counsel to join their In-House legal team.

Job Summary

The Legal Counsel will play a critical role in advising the company on regulatory matters, ensuring compliance with relevant laws and regulations, and providing guidance on complex legal issues.

Key Responsibilities
  • Regulatory Compliance
    • Navigate complex regulatory frameworks and apply to the company's marketplace of financial products, compliance solutions, and portfolio construction capabilities.
    • Guide the business on 1940 Act experience, Securities Act of 1933, Securities Exchange Act of 1934 and FINRA regulations.
    • Assess and mitigate regulatory and reputational risks with respect to product offerings and financial technology services.
  • Legal Advice
    • Collaborate with team leads to develop portfolio analytics with robust methodologies and disclosures.
    • Oversee and improve processes for the review of marketing materials.
    • Develop and enhance policies, procedures, and processes for platform offerings of alternative investments and structured products.
  • Regulatory Engagement
    • Engage with regulators, including the SEC and FINRA, and other external parties.
    • Monitor SEC/FINRA and SRO rule developments and educate senior management on regulatory implications.
Requirements
  • J.D. and admitted to practice law in at least one U.S. state/good standing, state bar.
  • 2+ years of legal practice, specialized experience in advising investment advisers and/or broker-dealers on regulatory obligations Act experience, Securities Act of 1933, Securities Exchange Act 1934 and FINRA regulations.
  • Knowledge/expertise in the rules and regulations relevant to investment advisers and broker-dealers including, conflicts of interest, the Marketing Rule, and communications with the public.
  • Able to work autonomously and collaboratively within a wider team.
  • Excited by a varied portfolio of work, assisting/advising multiple internal business units including senior stakeholders.
What We Offer
  • Competitive base salary - $200,000 - $280,000 + bonus, equity and wider benefits package, salary dependent on experience the client is open to hiring at either AVP, VP or SVP level depending on experience.
  • Hybrid working environment: 3 days/week in the office and 2 days/week working from home.
  • Comprehensive health insurance plan.
  • Generous PTO.
  • Healthy work/life balance and extensive wider benefits package, well-being perks etc.