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In-House Legal Advisor

2 months ago

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

Dynamic Fintech company seeking 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 strong performance and innovative solutions. This hybrid position is based in a prestigious office environment, providing an opportunity to collaborate with a skilled team on various regulatory and legal matters within the financial services sector. This role presents an excellent opportunity for professional growth within a well-regarded organization that values its culture and reputation.

Position Overview

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

  • Navigating intricate regulatory landscapes and applying them to the company's diverse range of financial products and compliance solutions.
  • Providing guidance on regulations including the 1940 Act, Securities Act of 1933, Securities Exchange Act of 1934, and FINRA rules.
  • Identifying and mitigating regulatory and reputational risks associated with product offerings and financial technology services.
  • Collaborating with team leaders to develop robust methodologies and disclosures for portfolio analytics.
  • Enhancing processes for the review and approval of marketing materials.
  • Creating and refining 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 regulations and advising senior management on their implications.

Qualifications for the Ideal Candidate

To be considered for the Legal Counsel/Regulatory Counsel position, candidates should possess:

  • A Juris Doctor (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 experience, with a focus on advising investment advisers and/or broker-dealers regarding regulatory obligations.
  • Expertise in the rules and regulations pertinent to investment advisers and broker-dealers, including conflicts of interest and the Marketing Rule.
  • The ability to work both independently and collaboratively within a broader team.
  • A passion for a diverse range of work, providing assistance and advice to multiple internal business units, including senior stakeholders.

Eligibility Requirements

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

Compensation and Benefits

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

  • A competitive salary range of $200,000 - $280,000, along with bonuses, equity, and a comprehensive benefits package, with flexibility in hiring at AVP, VP, or SVP levels based on experience.
  • A hybrid work environment, with 3 days in the office and 2 days working remotely.
  • A comprehensive health insurance plan.
  • Generous paid time off.
  • A focus on work-life balance and a wide array of additional benefits and wellness perks.