What would you do in this role?We're looking for a strategic and entrepreneurial regulatory attorney to help guide the development, offer, and deployment of our products and services to the public, helping to shape the future of financial advice. You will partner closely with cross-functional teams and senior leaders across Product, Operations, Technology, and Compliance to serve as the primary legal advisor on our product offerings and development decisions . Comfortable taking on new and unique challenges in a dynamic, fast-paced environment, you will help us deliver trusted, tech-forward products while mitigating regulatory risk This is a high-impact role ideal for a lawyer who thrives at the intersection of innovation and regulation and can quickly assess risk, deliver pragmatic guidance, and enable responsible innovation at a rapid pace.
You will serve as the dedicated legal partner to our business colleagues throughout the full product development lifecycle - from ideation to launch and iteration - and help seamlessly integrate legal and compliance considerations into the way we build our products and services (one might say, "by design").
No two days will look the same, but here's a glimpse of what you'll tackle:
- Provide timely, business-grounded guidance on the legal and regulatory implications of new features and product lines offered by our businesses, from AI-powered tools to ETFs to research products.
- Advise on applicable federal and state securities laws and regulations, including the Investment Advisers Act, as they relate to the Company's products and services.
- Draft, review and facilitate the filing of regulatory documents.
- Work with team members and external service providers to develop and implement compliance programs for new initiatives.
- Draft legal disclosures, terms of service, and disclaimers to accompany the Company's products and services.
- Partner with cross-functional teams on regulatory compliance and implications of new features, including AI-enabled tools and automated financial communications.
- Help identify and manage risk arising from marketing materials, disclosures, and member-facing communications.
- Draft and review agreements relevant to product and operation activities.
- Stay ahead of industry trends, legal risks, and regulatory shifts - and educate internal stakeholders accordingly.
What You'll Bring- 8+ years of legal experience with in-house and/or law firm experience (a combination of both is preferred), advising on product development within or adjacent to financial publishing, fintech, InvestTech, or other financial services environments.
- Deep substantive and practical knowledge of investment management law, securities regulation and other applicable rules with emphasis on the Investment Advisers Act.
- Familiarity with consumer financial protection regulations as applied to consumer-facing products and services.
- Strong written and verbal communication skills, including the ability to translate legal complexity into usable guidance for non-lawyers.
- Direct experience advising on AI-enabled tools, automation systems, or personalization engines in a regulated context.
- Strong business judgment and ability to balance risk mitigation with growth.
- J.D. and active, good standing membership in at least one U.S. state bar.
Annual Pay Range
$260,000-$290,000 USD
