VP of Legal and Compliance
Posted date [Sep-12-2017]
(ID: 4708)
My client is seeking a VP of Legal and Compliance to lead our law and compliance teams and manage all legal aspects of our fintech organization. This is a unique opportunity to build the legal function of a fast-growing fintech startup essentially from the ground up and to lead the compliance team as it grows and scales with the business.

Inception - Feb 2015 - started operations October 2015

SEC registered Investment Advisor

Fastest Growing App in the country - FINTECH company created to help American's invest for retirement

As our first dedicated in-house legal counsel, you will work closely with our C-Suite and with teams across the organization including business development, engineering, product, and marketing, as well as our broker-dealer and registered investment advisor subsidiaries.

They are looking for:

J.D. degree from a top-tier law school and licensed to practice in New York, or the ability to apply for New York's in-house counsel exemption

Minimum 8 years of legal experience, with 2+ years of experience in a top national or international law firm, experience with venture-backed companies a plus but not required

Significant experience in Bank Holding Company Act, Dodd-Frank and Regulations K, Y, QQ, VV, WW, YY and other lending and fair credit laws and regulations;

Experience in broker-dealers regulation and operation, the Investment Advisers Act, the Securities Act of 1933, and the Securities Exchange Act of 1934 is a strong plus but not required

Familiar with a wide variety of general corporate and commercial transactional work

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

Creative, with the confidence to present and advocate for the implementation of ideas

What youll do:

Perform general in-house counsel activities related to a fast-growing company including advising on laws and regulations that affect operations and compliance obligations such as advising with respect to securities, contract, intellectual property and labor laws

Help the company grow by navigating the complex regulatory terrain of Registered Investment Advisors, Broker Dealers, Bank Holding Company, and Lending and Bank regulations

Prepare and review commercial contracts, partnership agreements and other documents for day-to-day business transactions

Advise on corporate governance and securities matters

Manage & create subscription, participation, operating agreements, policies, and disclosures for entire suite of personal financial technology products

Manage the compliance & risk management function for the organization

Advise on marketing strategy and approve all materials

Create vendor contracts and contractor agreements

Ensure that the company is in compliance with all current business process laws

Assist in corporate governance and securities matters at the executive and board-level

Interface with and manage multiple outside law firms

Complete special projects as needed and other duties assigned

Please let me know your thoughts. Should you not be interested, please pass it along to any of your contacts the best candidates come from referrals!

Best regards,


Eva Minsteris, CPA

Senior Managing Director | JSB Partners

747 Third Avenue, 15th Floor
New York, NY 10017

t 212-750-7007 |em@jsbpartners.com

Candidates will not contact you directly. Any relevant candidates will be forwarded by our staff.
Job Title VP of Legal and Compliance
Post Details
Start Date
Job Type Job Type -> Full-time
Experience Level
Classification Job Classification -> Legal
Required Qualifications
Desired Qualifications