Successful Fintech looking to expand their In-House legal team.
Hybrid: 2-3 days in the New York, Midtown, Manhattan office.
About Our Client
Well-regarded Fintech with a successful track record. Hybrid role based out of the prestigious offices in Midtown, NYC. Working with a highly talented team on a range of regulatory legal financial services/banking matters, this is an excellent opportunity for career development with a popular Fintech with great culture and reputation!
Job Description
A varied role, working within the In-House Legal Team, as Legal Counsel you will:
- 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.
- 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.
- 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.
The Successful Applicant
Demonstrable qualifications/background for the Legal Counsel/Regulatory Counsel:
- 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 - 1940 Act experience, Securities Act of 1933, Securities Exchange Act of 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.
Candidates must be eligible to work in the US now/in the future without requiring visa sponsorship.
What's on Offer
As Legal Counsel/Regulatory Counsel, aside from working within a highly thought of In-House legal team you will benefit from:
- 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 prestigious Midtown, New York City/Manhattan 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.
Interviews commence late July/early August. Please submit your resume ASAP.
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