General Counsel
About the Company
Innovative financial technology (FinTech) company specializing in retirement solutions
Industry
Financial Services
Type
Privately Held
About the Role
The Company is seeking a General Counsel to join its dynamic team. The successful candidate will be responsible for negotiating credit and financing agreements that align with the company's growth strategy, overseeing operations to ensure regulatory compliance, and managing relationships with custodians. This role also involves working closely with external counsel on complex legal matters, integrating legal insights into strategic decision-making, and navigating a range of legal considerations, including tax, securities, ERISA, and corporate law. The ideal candidate will have a J.D. with a strong background in fintech, particularly within investment advisory, and a deep knowledge of the relevant legal areas. Applicants for the General Counsel position at the company should be former attorneys with a proven track record in fintech and a focus on investment advisory. The role requires a candidate with exceptional communication and collaboration skills, the ability to influence cross-functional teams, and a demonstrated capacity to apply legal expertise in an operational and strategic business context. Experience in ERISA is a significant plus, given the company's role as a 401(k) provider, broker-dealer, and trust company. The General Counsel will play a key operational role, serving as CCO of the broker-dealer and CEO of the trust company, and must be prepared to drive high-level initiatives in a fast-paced, mission-driven environment.
Travel Percent
Less than 10%
Functions