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Assistant General Counsel
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Title: Assistant General Counsel
Department: Legal
The Assistant General Counsel provides strategic legal guidance and operational support across the organization, with a focus on corporate governance, securities compliance, commercial transactions, and risk management. This role is critical in ensuring the company meets its obligations as a publicly traded financial technology firm while enabling business growth and innovation.
Duties/Responsibilities:
Corporate & Securities Law
- Support SEC reporting and compliance, including 10-Ks, 10-Qs, 8-Ks, proxy statements, and Section 16 filings.
- Advise on corporate governance matters, including board and committee operations, charters, and policies.
- Assist with annual shareholder meetings and related documentation.
Commercial Transactions
- Draft, review, and negotiate a wide range of commercial agreements, including SaaS, vendor, partnership, licensing, and NDAs.
- Collaborate with cross-functional teams (Sales, Finance, Product, and Operations) to support business initiatives and mitigate legal risk.
Regulatory Compliance
- Monitor and advise on applicable financial regulations, including those from the SEC, FINRA, CFPB, and other relevant bodies.
- Partner with Compliance and Risk teams to ensure adherence to internal policies and external regulatory requirements.
Risk Management & Dispute Resolution
- Identify and assess legal risks and recommend mitigation strategies.
- Manage pre-litigation disputes and coordinate with external counsel on litigation matters as needed.
Corporate Development & Strategic Initiatives
- Provide legal support for M&A activity, joint ventures, and strategic investments.
- Conduct due diligence and assist with integration planning and execution.
Policy & Training
- Develop and maintain internal legal policies and training programs to promote compliance and reduce risk exposure.
- Educate internal stakeholders on legal and regulatory developments affecting the business.
Education/Experience:
- Law degree (JD, LL.M) from an accredited law school; active bar membership in good standing.
- 6–10 years of legal experience, preferably with a mix of law firm and in-house counsel roles.
- Experience in securities law, public company governance, and fintech or financial services.
- Strong understanding of commercial contracts and regulatory frameworks.
- Excellent judgment, communication, and interpersonal skills.
- Ability to manage multiple priorities in a fast-paced, high-growth environment.
Physical Requirements:
- Prolonged periods sitting at a desk and working on a computer.
- Must be able to lift 15 pounds at times.
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