Overview
This role supports the organization’s Legal team by providing strategic regulatory guidance on the development, offering, and deployment of products and services to the public. You will partner with cross-functional teams and senior leaders across Product, Operations, Technology, and Compliance, serving as a primary legal advisor for product offerings and development decisions.
Responsibilities
- Provide timely, business-grounded guidance on the legal and regulatory implications of new features and product lines, including AI-powered tools, ETFs, and 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 the filing of regulatory documents.
- Work with team members and external service providers to develop and implement compliance programs for new initiatives.
- Draft legal disclosures, terms of service, and disclaimers to accompany products and services.
- Partner with cross-functional teams on regulatory compliance and implications of new features, including AI-enabled tools and automated financial communications.
- Identify and manage risk arising from marketing materials, disclosures, and member-facing communications.
- Draft and review agreements relevant to product and operations activities.
- Stay ahead of industry trends, legal risks, and regulatory shifts, and educate internal stakeholders accordingly.
Requirements
- 8+ years of legal experience with in-house and/or law firm experience (a combination of both is preferred), advising on product development within or adjacent to financial publishing, fintech, InvestTech, or other financial services environments.
- Deep substantive and practical knowledge of investment management law, securities regulation, and other applicable rules, with emphasis on the Investment Advisers Act.
- Familiarity with consumer financial protection regulations as applied to consumer-facing products and services.
- Strong written and verbal communication skills, including the ability to translate legal complexity into usable guidance for non-lawyers.
- Direct experience advising on AI-enabled tools, automation systems, or personalization engines in a regulated context.
- Strong business judgment and ability to balance risk mitigation with growth.
- J.D. and active, good standing membership in at least one U.S. state bar.
Compensation & Benefits
- Annual Pay Range: $260,000 USD - $290,000 USD
Location
Not specified in the provided description.