Legal Counsel
Company: Page Executive
Location: New York
Posted on: November 10, 2024
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 ClientWell-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 DescriptionA 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
ApplicantDemonstrable 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 OfferAs
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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Keywords: Page Executive, Hicksville , Legal Counsel, Legal , New York, New York
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