Legal Counsel

Page Executive
US - New York - New York
September 17, 2024

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!

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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Read the full job description and apply online on the recuiter's web-site

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