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Years of Experience
Date Last Verified
Broker-Dealer Attorney Responsibilities: Creatively configure compliant solutions and provide advice for sound business decisions in view of relevant legal and compliance requirements and risks. Analyze and provide guidance on evolving laws, rules, regulations, and trends impacting principally the broker-dealer and, to a lesser degree, investment management and financial advisory industries, including: (1) Securities Act of 1933, Securities Exchange Act of 1934, and related investment-related statutes and regulations (2) FINRA and MSRB rules and regulations (3) Investment Advisers Act of 1940 (4) Other federal and state financial services-related laws, rules and regulations. Advise with respect to legal and regulatory aspects of compliance matters for the broker-dealer. Assist with the development of new lines of business and financial advisory products by: (1) Embedding yourself in the project development team upon project launch (2) Working closely and proactively with other project team members to identify potential legal and regulatory issues (3) Crafting compliant solutions that avoid or minimize inefficient use of product and design and engineering resources and speed product launches and (4) Drafting related agreements, policies, procedures and disclosures. Manage interactions with the SEC, FINRA and other regulatory authorities. Interfacing with and managing outside counsel. Other duties as assigned by the General Counsel.
Qualification and Experience
Qualifications: JD Degree from an outstanding law school and licensed to practice in California, or the ability to apply for California’s in-house counsel exemption. 8 years of legal experience, with 2 years of experience in a national or international law firm, and with other experience in-house / start-up preferred. Very strong familiarity and experience with FINRA and MSRB rules required. Experience working with investment advisers very strongly preferred. FINRA Series 7, 24, 53 and 63 licenses or willingness to obtain within three months (at Wealthfront expense). Ability to design creatively compliant solutions while not blocking progress by rotely minimizing risks. Ability to work in a fast-paced environment and strong collaborative skills. Ability to participate in developing company strategic and operational goals, and work closely with business units in their operational execution. Ability to provide hands-on counsel to all levels of executive and non-executive associates. Ability to identify and analyze legal issues, draft key documents, present clear recommendations, and assure legal compliance. Strong project management skills. Self-motivated and efficient, with good business judgment and “take ownership” outlook. Creative, with the confidence to present and advocate for the implementation of ideas.
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