Assistant General Counsel

New

Skills

Contract Negotiation Financial Services Product Design Regulatory Compliance

Job Overview

Provide legal counsel and regulatory guidance for the design and launch of investment and brokerage features within a fintech environment.

Responsibilities
  • Advise Product and Engineering on regulatory balance and compliance requirements.
  • Structure and document new products, advisor tools, custodial features, trading, and disclosures.
  • Draft, review, and negotiate various agreements related to SaaS, data, technology licenses, brokerage, and partnerships.
  • Develop templates, playbooks, and fallback positions for risk mitigation while maintaining operational agility.
  • Align product and commercial terms with SEC, FINRA, and related rules.
  • Prepare responses and engage with regulatory bodies as needed.
Requirements & Qualifications
  • At least 5 years post-JD experience in a major firm, regulator, or financial services/fintech industry.
  • Experience advising on regulated financial products such as broker-dealer, adviser, asset management, and payments.
  • Strong interest and knowledge in broker-dealer and/or investment adviser regulations.
  • Ability to interpret regulations for Product and Engineering teams.
  • Experience in drafting and negotiating commercial contracts related to technology, SaaS, data, and financial services.
  • Ability to balance legal risk, regulatory expectations, and business objectives effectively.
  • High ownership mindset and adaptability in fast-paced, high-growth environments.

Job Type: Remote

Salary: Not Disclosed

Experience: Entry

Duration: 12 Months

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