Legal Counsel
Provides business-oriented legal counsel on broker-dealer regulation, digital assets, payments, and financial products while supporting regulatory engagement, agreements, and disputes. Requires a J.D., U.S. state bar admission, and at least five years of legal experience, including substantial broker-dealer regulatory experience.
About the job
Responsibilities
- Advise on complex regulatory frameworks affecting innovative financial products and services.
- Lead legal reviews of product design, marketing, and customer onboarding processes.
- Advise on digital assets, payments, data privacy, and new or anticipated legal requirements.
- Monitor regulatory developments from the SEC, FINRA, CFTC, FinCEN, OFAC, and other agencies and self-regulatory organizations.
- Support regulatory engagement with the SEC, FINRA, and other agencies.
- Draft agreements, disclosures, policies, and procedures.
- Conduct legal research and provide practical guidance to internal stakeholders.
- Manage litigation, arbitration, and other disputes, including case strategy, outside counsel, claims, discovery, risk, and resolution options.
- Partner with Product, Brokerage, Crypto, Compliance, Anti-Money Laundering, Sales, and Success teams.
Requirements
- J.D. degree or foreign equivalent.
- Active membership in at least one U.S. state bar.
- 5–7+ years of legal experience, including at least 3 years focused on U.S. broker-dealer regulation.
- Experience with the Securities Exchange Act of 1934, related regulations and rules, FINRA rules, and federal and state securities laws.
- Familiarity with U.S. cryptoasset regulatory regimes, including SEC, CFTC, NYDFS, FinCEN, and anti-money-laundering requirements.
- Experience advising fintechs or financial institutions, ideally in a startup or growth-stage environment.
- Ability to deliver strategic, business-oriented legal advice under tight deadlines.
- Excellent written and verbal communication skills.
- Practical, collaborative working style, strong judgment, self-motivation, and ability to work independently and manage multiple projects.
- Comfort with ambiguity and a growth mindset.
Compensation and Benefits
- Competitive salary and stock options.
- Health benefits.
- One-time USD $500 new-hire home-office setup benefit.
- USD $150 monthly stipend via a Brex Card.
Skills
U.S. Broker-Dealer Regulation, Securities Exchange Act, Finra Rules, Securities Laws, Cryptoasset Regulation, Cftc, Fincen, Ofac, AML, Data Privacy, Litigation, Regulatory Compliance
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