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In-House General Counsel The candidate will manage all legal aspects of the fintech organization. Provide accurate legal guidance on all legal matters that affect the company. Advise on SEC regulatory and compliance procedures. Manage & create subscription, participation, operating agreements, policies, and disclosures for entire suite of personal and institutional financial technology products. Experience structuring investment funds, pooled investment vehicles in asset based lending or private equity structured finance funds. Manage the compliance & risk management function for the organization. Advise on Marketing strategy and approve all materials. Champion Strategic legal projects and facilitate go to market. Create vendor contracts and contractor agreements. Ensure that the company is in compliance with all current business process laws. A J.D. in Law from top-tier establishment and 5-10 years legal practice experience required. Expertise in business law corporate governance, and regulatory compliance required Experience in Investment advisory law, broker-dealer law and commercial banking a plus. Knowledge of JOBS Act, ACT 40, 506(C) regulations preferred. Series 7, 24, 63 preferred.
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