Legal Counsel Job at Page Executive, New York, NY

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  • Page Executive
  • New York, NY

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 regarding, 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 tea.
  • 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. #J-18808-Ljbffr

Job Tags

Immediate start, Visa sponsorship, 2 days per week, 3 days per week,

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