The opportunity
Our mission is to democratize finance for all. An estimated $124 trillion of assets will be inherited by younger generations in the next two decades.
What you'll do
Navigate complex regulatory frameworks to help the business design innovative financial products and services
Identify and draft necessary changes to the firm's systems and procedures to: meet the requirements of new rules/regulations
Engage with regulators, including the SEC and FINRA, and other external parties
Draft agreements, policies and procedures, disclosures, account documentation and website materials
Review marketing materials, advertisements, and other communications with the public
Resolve customer account issues related to estates, bankruptcies, powers of attorney, and related matters.
What they're looking for
- Monitor SEC/FINRA and SRO rule developments and making resulting recommendations
- Research securities and brokerage questions and providing legal analysis and recommendations
- Partner cross-functionally with teams including litigation, compliance, product and government affairs
