Description

The General Counsel will creatively configure compliant solutions and provide strategic advice for sound business decisions, considering relevant legal and compliance requirements and associated risks. This role involves analyzing and guiding on evolving laws, rules, regulations, and trends affecting the broker-dealer space, with a lesser focus on investment management and financial advisory sectors. Staying informed about pertinent federal and state banking laws, including the Bank Secrecy Act (BSA), Federal Reserve Act, Dodd-Frank Act, and Glass-Steagall Act, will be crucial in this position.

Compensation and Benefits

• Competitive salary ranging from \(180,000 to \)200,000
• Comprehensive health benefits
• Flexible working arrangements (Remote)

Why you should apply for this position today

This role offers the unique opportunity to influence compliance strategies within a dynamic sector while working remotely from a vibrant area like Palo Alto, CA. You will be part of a forward-thinking organization that values innovation and compliance in the financial industry.

Skills

• Strong understanding of compliance and regulatory frameworks
• Excellent analytical and problem-solving abilities
• Ability to interpret and apply complex legal documents
• Strong communication skills, both verbal and written
• Knowledge of broker-dealer regulations and investment management laws

Responsibilities

• Provide legal guidance on compliance matters affecting the broker-dealer industry
• Analyze and interpret evolving regulations and trends
• Stay updated on federal and state banking laws
• Advise on legal implications for business decisions
• Collaborate with cross-functional teams to ensure compliance

Qualifications

• Juris Doctor (JD) degree from an accredited law school
• Admission to practice law in relevant jurisdictions
• Proven experience in regulatory or compliance roles

Education Requirements

• Juris Doctor (JD) degree

Education Requirements Credential Category

• Professional Degree

Experience Requirements

• Minimum of 5 years of experience in a legal compliance role within the financial industry

Why work in Palo Alto, CA

Palo Alto is known for its innovative tech scene and vibrant culture, making it an ideal place for professionals looking to thrive in a dynamic environment. The city boasts numerous opportunities for networking, collaboration, and professional growth within a community that fosters creativity and entrepreneurship.