Empire Search Partners
General Counsel and Regulatory Affairs
Experience Required: 5-10 Years, ideally with prior experience in fintech, particularly in investment advisory or financial services space.
Our client, an innovator in the financial services industry, is hiring for their first General Counsel and Regulatory Affairs to shape and execute strategy around their legal function in New York, NY. Reporting directly to the Co-Founder and CEO, you will be responsible for integrating legal and regulatory insights into business strategies. Your experience in capital markets, securities, tax, fintech, or adjacent regulatory environments will be critical. You will also be responsible for general corporate counsel matters, stemming from internal policies to external partnerships with service providers and everything in between.
This is a unique opportunity to have an outsized impact on a high-growth company changing the financial services landscape. This position requires a “big picture” thinker who won’t lose sight of the details and can execute quickly in a fast-paced and demanding environment. The ideal candidate will have an entrepreneurial spirit, deep knowledge of and interest in financial markets, and will possess the creativity and vision necessary to be nimble while staying compliant in a heavily regulated industry. They will also have a thorough understanding of the regulatory landscape (capital markets, securities, ERISA/retirement plans, credit/lending, data privacy, etc.) and an ability to clearly and persuasively present regulatory risks and strategy to enable leadership to make informed decisions.
Key Responsibilities
Develop and execute the legal & regulatory function strategy
Manage legal budget and collaborate with outside counsel
Negotiate credit and financing agreements
Manage relationships with custodians, addressing broker-dealer registration inquiries
Draft, review and negotiate commercial contracts (MSAs, partnership agreements, NDAs, etc.)
Ensure all products, platforms and services are in compliance with state and federal laws
Advise and implement internal policies, procedures, and controls (compliance, privacy, cybersecurity, vendor management)
Interested attorneys with matching backgrounds are encouraged to apply and learn more details about this opportunity!
About Empire Search Partners With over 25 years of relationship building in the major U.S. legal markets, Empire Search Partners has developed the preeminent network of top-tier attorneys and legal employers. This network enables Empire Search to combine the market’s leading law firm and in-house legal recruiting practices under one roof. Empire Search is the choice legal recruiting firm for attorneys looking for the most comprehensive career guidance and for employers in search of accomplished legal talent.
Empire Search Partners is an Equal Opportunity Employer and will not discriminate against any individual application based on race, color, sex, national origin, age, religion, marital status, sexual orientation, gender identity, gender expression, military or veteran status, disability, or any factors prohibited by applicable laws. Empire Search Partners celebrates diversity and is committed to creating an inclusive environment for our employees and for the clients we serve.
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Our client, an innovator in the financial services industry, is hiring for their first General Counsel and Regulatory Affairs to shape and execute strategy around their legal function in New York, NY. Reporting directly to the Co-Founder and CEO, you will be responsible for integrating legal and regulatory insights into business strategies. Your experience in capital markets, securities, tax, fintech, or adjacent regulatory environments will be critical. You will also be responsible for general corporate counsel matters, stemming from internal policies to external partnerships with service providers and everything in between.
This is a unique opportunity to have an outsized impact on a high-growth company changing the financial services landscape. This position requires a “big picture” thinker who won’t lose sight of the details and can execute quickly in a fast-paced and demanding environment. The ideal candidate will have an entrepreneurial spirit, deep knowledge of and interest in financial markets, and will possess the creativity and vision necessary to be nimble while staying compliant in a heavily regulated industry. They will also have a thorough understanding of the regulatory landscape (capital markets, securities, ERISA/retirement plans, credit/lending, data privacy, etc.) and an ability to clearly and persuasively present regulatory risks and strategy to enable leadership to make informed decisions.
Key Responsibilities
Develop and execute the legal & regulatory function strategy
Manage legal budget and collaborate with outside counsel
Negotiate credit and financing agreements
Manage relationships with custodians, addressing broker-dealer registration inquiries
Draft, review and negotiate commercial contracts (MSAs, partnership agreements, NDAs, etc.)
Ensure all products, platforms and services are in compliance with state and federal laws
Advise and implement internal policies, procedures, and controls (compliance, privacy, cybersecurity, vendor management)
Interested attorneys with matching backgrounds are encouraged to apply and learn more details about this opportunity!
About Empire Search Partners With over 25 years of relationship building in the major U.S. legal markets, Empire Search Partners has developed the preeminent network of top-tier attorneys and legal employers. This network enables Empire Search to combine the market’s leading law firm and in-house legal recruiting practices under one roof. Empire Search is the choice legal recruiting firm for attorneys looking for the most comprehensive career guidance and for employers in search of accomplished legal talent.
Empire Search Partners is an Equal Opportunity Employer and will not discriminate against any individual application based on race, color, sex, national origin, age, religion, marital status, sexual orientation, gender identity, gender expression, military or veteran status, disability, or any factors prohibited by applicable laws. Empire Search Partners celebrates diversity and is committed to creating an inclusive environment for our employees and for the clients we serve.
#J-18808-Ljbffr