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Responsibilities:
- Provide timely, business-grounded guidance on legal and regulatory implications of new features and product lines, from AI-powered tools to ETFs to research products.
- Advise on applicable federal and state securities laws and regulations, including the Investment Advisers Act, as they relate to products and services.
- Draft, review, and facilitate filing of regulatory documents.
Qualifications:
- 8+ years of legal experience with in-house and/or law firm experience, advising on product development in financial services.
- Deep knowledge of investment management law and securities regulation, with emphasis on the Investment Advisers Act.
- Familiarity with consumer financial protection regulations and direct experience advising on AI-enabled tools in a regulated context.
Compensation:
- Annual pay range of $260,000 - $290,000 USD.
- By applying, you acknowledge data collection for recruiting purposes; see our Applicant Privacy Notice.
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