Assistant General Counsel, Regulatory

📋 Description

• Navigate regulatory frameworks to design financial products
• Draft changes to systems to meet new rules/regulations
• Engage with regulators (SEC, FINRA) and external parties
• Draft agreements, policies, disclosures, and account documents
• Review marketing materials and public communications
• Monitor rule developments and advise on impact

🎯 Requirements

• J.D. degree and admission to at least one U.S. state bar
• 10+ years advising retail broker-dealers
• Knowledge of broker-dealer rules (sales practice, Reg BI, Form CRS, licensing, books and records)
• In-house legal experience
• Experience at a federal or state financial regulatory agency
• Ability to provide practical, business-oriented legal advice

🎁 Benefits

• Challenging, high-impact work to grow your career
• Best-in-class benefits including 100% paid health insurance for you and 90% coverage for dependents
• Lifestyle wallet a flexible benefits spending account for wellness, learning, and more
• Employer-paid life and disability insurance, fertility benefits, and mental health benefits
• Time off to recharge including holidays, PTO, sick time, parental leave, and more
• Exceptional office experience with catered meals, events, and comfortable workspaces