Regulatory Compliance Counsel

December 4

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Human Interest

WebsiteLinkedInAll Job Openings

Financial Services • FinTech • Benefits • Personal Finance • SaaS

501 - 1000 employees

Founded 2015

💸 Finance

💳 Fintech

💰 $200M Series D on 2021-08

Description

• Human Interest seeks a Regulatory Compliance Counsel with extensive legal experience specializing in regulatory and compliance matters. • The role involves providing legal guidance to ensure compliance with SEC regulations for investment advisers. • Collaborate with internal teams to mitigate risks and support innovative solutions while ensuring regulatory compliance.

Requirements

• J.D. from a top-tier accredited law school and admission to a state bar. • 8+ years of legal experience advising on regulatory matters affecting RIAs and BDs, with a strong focus on SEC, FINRA, and state regulatory compliance. • Proven expertise in the Investment Advisers Act of 1940, Securities Exchange Act of 1934, and related regulations. • Demonstrated success working at a leading FinTech company, financial institution, or top-tier financial services practice group. • Strong track record of partnering with high-performing teams in technology, compliance, or financial services environments. • Exceptional written and verbal communication skills, with the ability to explain legal and regulatory concepts to diverse stakeholders, including senior executives. • Highly organized and detail-oriented, with the ability to manage multiple complex projects simultaneously. • A proactive, solutions-oriented mindset with the ability to navigate ambiguity in a fast-paced environment. • Collaborative team player who builds relationships and influences outcomes across all levels of an organization.

Benefits

• A great 401(k) plan: Our own! Our 401(k) includes a dollar-for-dollar employer match up to 4% of compensation (immediately vested) and $0 plan fees. • Top-of-the-line health plans, as well as dental and vision insurance. • Generous PTO and parental leave policies. • Addition Wealth - Unlimited access to digital tools, financial professionals, and a knowledge center to help you understand your equity and support your financial wellness. • Lyra - Enhanced Mental Health Support for Employees and dependents. • Carrot - Fertility healthcare and family forming benefits. • Candidly - Student loan resource to help you and your family plan, borrow, and repay student debt. • Monthly work-from-home stipend; quarterly lifestyle stipend. • Employee Resource Groups including Veterans, Lift Ev’ry Voice, Pride, LatinX, Families, and Women in Tech. • Fun online and regional events and celebrations and department and company offsites. • The vast majority of our positions can be 100% remote.