Juris Doctor (JD) degree with a minimum of 8 years of relevant legal experience.
Active bar association license and in good standing.
Exceptional written and verbal communication skills.
Proven ability to build relationships and influence various stakeholders.
Preferred experience in law firms, exchanges, financial tech, trading firms, or related financial services.
Responsibilities
Act as the main contact for legal and compliance issues while partnering with management.
Lead training initiatives on legal policies and company risks.
Advise on regulatory obligations related to financial markets and trading.
Participate in business meetings to support regulatory and legal risk management.
Counsel various teams on financial and business legal risks with Regulatory Counsel support.
Facilitate the establishment of counterparty agreements and board governance matters.
Assist in managing internal investigations and responding to regulatory inquiries.
Benefits
PPO health, dental, and vision insurance fully covered for employees and dependents.
Pre-tax commuter benefits provided.
Weekly meals offered by the company.
Collaborative, casual, and friendly work environment.
Full Job Description
We are seeking an Associate General Counsel with a background working with private funds, and
particularly focused on investment-technology legal matters to help lead our continued growth
through sound legal guidance, industry insight, and close collaboration with leadership and cross-
functional teams.
Responsibilities
Serve as the day-to-day point of contact and responsible manager for the adviser's legal
and guidance, related risk, and policy development, partnering with the CLO, CCO and
other members of management.
Advise on financial market and global trading regulatory obligations, including regulatory developments and the management of legal matters related to execution, trading, and operations. Particularly on the nexus of law and technology issues related to professional trading.
Support the company's regulatory and legal risk management by actively participating in business and product development meetings.
Advise the Compliance, Technology, Finance, Investor Relations, and Management teams on financial and business legal risks, with the support of Regulatory Counsel.
Support other attorneys across a range of advisor legal responsibilities.
Support internal investigations and respond to regulatory inquiries as needed.
Requirements
Juris Doctor (JD) degree and at least 8 years of relevant legal experience.
Awareness, fluency (and excitement) in using evolving technologies in business and when providing counsel to staff.
Active license to practice law and good standing with the applicable bar association.
Excellent written and verbal communication skills, including the ability to build relationships, actively listen, and influence stakeholders by adapting communication style to different audiences.
Experience at a law firm, regulated exchange, financial technology company, trading firm, or other financial services organization is preferred.
Benefits
Competitive salary with performance-based bonus.
Collaborative, casual, and friendly work environment.
PPO health, dental, and vision insurance fully covered for you and your dependents.
