Job Description

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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