Related skills
ai finra in-house counsel investment advisers act investment company act📋 Description
- Own the investment products portfolio; advise on disclosures.
- Collaborate across product, compliance, risk, engineering, and ops.
- Advise and support compliance; coordinate with FINRA and the SEC.
- Flex and grow; contribute across Legal on other product areas.
- Use AI tools in legal workflows to drive efficiency.
- Translate dense regulatory concepts into clear narratives.
🎯 Requirements
- 6+ years of legal experience; 2+ in non-deposit investment products.
- Advisers Act, Securities Act, Investment Company Act, Reg BI, Form CRS/ADV, FINRA rules.
- In-house experience preferred; agency exposure a bonus.
- Exceptional communication; precise in Slack and memos.
- Proactive ownership; not afraid to say "I don't know, I'll find out".
- AI use cases in legal/financial services; interest in driving efficiency.
🎁 Benefits
- Equity (stock options).
- Benefits package.
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