Description:

We are hiring an experienced executive to be our general counsel and chief compliance officer. In this dual role, you will play a crucial part in ensuring the company's compliance with regulatory requirements while also providing strategic legal counsel to support our business objectives. You know the wealth management industry is ripe for change, and you want to be part of the journey.

What You'll Do:

Take full ownership of our compliance program with the aid of our outside compliance consultants to maintain a best-in-class and proactive compliance program.
Operate with little dependence on outside counsel to protect the company from legal risks.
Monitor and assess the impact of regulatory changes on the company's operations, providing timely guidance to internal stakeholders.
Prepare and submit regulatory filings, including Form ADV and other required documents.
Create and update compliance policies and procedures, ensuring they align with industry standards and regulatory expectations.
Provide legal counsel on a wide range of matters, including contracts, intellectual property, employment law, and corporate governance, while taking a pragmatic approach to protecting the firm from legal risks while considering the business needs.
Identify and assess legal and compliance risks, proposing and implementing risk mitigation strategies. Work closely with internal teams to integrate risk management into business processes. Collaborate with external legal counsel, when needed.
Participate in due diligence processes for potential mergers, acquisitions, or strategic partnerships. Draft and review legal documents related to transactions, ensuring compliance and mitigating legal risks.
Foster and champion a culture of compliance.

Competencies and Skills

JD from a top US law school and active bar membership in good standing.
Extensive experience in compliance and legal roles within the financial services industry.. Particular consideration given to candidates who have experience with quickly scaling businesses, and candidates who have experience particularly at the intersection of tech and wealth management.
Strong knowledge of relevant regulations, including Investment Advisers Act and SEC rules.
Excellent communication, interpersonal, and leadership skills.
Proven ability to work collaboratively with cross-functional teams and provide strategic guidance to senior management.
Demonstrated ability to work cross-functionally and innovate outside the scope of existing resources
Comfort working in a fast-paced start-up / technology-centric environment
Ability to translate ambiguous circumstances into clear, actionable next steps to help others navigate change