Overview
This role focuses on legal support for non-deposit investment products across the full product lifecycle—helping shape product development while advising on complex and evolving regulatory requirements. The position will play a direct role in delivering a high-quality customer experience.
Responsibilities
- Own the investment products legal portfolio as the primary legal advisor for investment products accessed by business and consumer customers.
- Support new feature development
- Draft disclosures
- Calibrate content for marketing and customer communications
- Advise on operational matters with regulatory impacts
- Partner across functions at the intersection of product, compliance, risk, engineering, and operations.
- Bring legal perspective into early conversations
- Build relationships across teams and influence decisions before checkpoints
- Advise and support compliance for regulatory matters affecting investment products.
- Interpret requirements
- Pressure-test approaches
- Support examination readiness with FINRA and the SEC
- Contribute beyond investments as needed by taking on opportunities across Legal and other product areas to broaden experience over time.
- Use AI intentionally in legal workflows and pursue efficiencies through working knowledge of AI tools.
- Communicate complex regulations clearly by translating dense regulatory concepts into straightforward narratives for product teams, stakeholders, and external audiences.
- Stay curious and agile as regulations, market conditions, and product priorities evolve; the scope of the role is expected to grow.
Requirements
- 6+ years of legal experience, with at least 2 years focused on non-deposit investment products
- Familiarity with:
- Investment Advisers Act
- Securities Act
- Investment Company Act
- Regulation Best Interest
- Form CRS/ADV
- FINRA rules and related regulatory frameworks
- Some in-house experience preferred but not required
- Strong communication skills tailored to audience (precise in informal and formal settings)
- Proactive ownership mindset (able to say “I don't know, but I’ll find out”)
- Working knowledge of AI use cases within legal roles and/or financial services, with genuine interest in using AI to drive efficiency
- Additional experience outside the investments/brokerage space (e.g., financial services, payments, or fintech)
Preferred Qualifications
- Exposure to regulatory agencies relevant to these products, whether as a member of agency staff or as part of an industry role
- In-house legal experience
Compensation & Benefits
- Total rewards include base salary, equity (stock options/RSUs), and benefits.
- Target new hire base salary ranges:
- US employees in New York City, Los Angeles, Seattle, or the San Francisco Bay Area: $219,000—$273,800 USD
- US employees outside of New York City, Los Angeles, Seattle, or the San Francisco Bay Area: $197,100—$246,400 USD
- Canadian employees (any location): $207,000—$258,700 CAD
Location
- This role includes compensation ranges for US employees in New York City, Los Angeles, Seattle, or the San Francisco Bay Area; US employees outside those areas; and Canadian employees (any location).