Description:

The Position:
Reporting to the CFO, you will work with a team of strong, focused professionals who are setting the bar for work in the private markets. You will work in conjunction with A Trading Marketplace Company legal/compliance resources to manage the Company's legal affairs as they relate to US corporate initiatives. This role will navigate through applicable securities laws and regulations in the US, review and draft US legal agreements, consult with US external counsel on exceptional matters, and provide oversight on all US related legal affairs. You will also conduct regulatory analysis and manage all US related compliance responsibilities to assess, remediate, and monitor compliance risks. You will assume the Chief Compliance Officer role for our Broker-Dealer (BD). Our BD executes trades and offerings of private shares and does not manage client assets. The ideal candidate will have experience with US corporate and securities laws, experience in a compliance and management capacity, and a strong working knowledge of SEC, FINRA regulations as they pertain to private placements (under Reg D offerings).

Location: New York, NY (Hybrid, 3 days per week in-office)

Responsibilities:

Draft, revise, and negotiate agreements on behalf of the Company as related to US securities laws/regulations.
Act as the Chief Compliance Officer for all regulated activities in the US; establish compliance programs and processes in accordance with best practices and knowledge of the regulatory environment.
Educate and train Company personnel on current and impending regulations as well as industry best practices.
Knowledge of US legal/compliance requirements and related internal controls
Familiarity with industry practices and professional standards
Work side by side with Canadian legal and compliance resources
Review and revise sales and marketing materials, website terms of use, Altigo account reviews, and other collateral items for compliance with applicable US federal and state laws and regulations.
Monitor and assist in the management of US-related corporate initiatives.

Qualifications:

3+ years of related legal and compliance experience required.
Admitted to practice in New York and in good standing.
Proven experience in drafting and negotiating commercial and securities agreements.
A self-motivated, entrepreneurial, and ‘outside the box' thinker with excellent time management and interpersonal skills.
Ability to manage changing priorities and a diverse range of legal duties, and a desire to innovate and excel.
Possess a high level of independence, initiative, creativity, and attention to detail using excellent business judgment as well as strategic thinking skills.
Financial services industry experience strongly preferred, including any experience with SEC, FINRA related regulations, private placement broker-dealers, RIAs, private fund formation, legal entity filings, and corporate governance.
FINRA Series 24 an asset, willingness to achieve licenses as a requirement.
The primary focus is the U.S.; may include some international commercial work.