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Regulatory Counsel

Company: Wealthfront Corporation
Location: Palo Alto
Posted on: January 9, 2022

Job Description:

Wealthfront is seeking a talented, passionate and experienced attorney to handle a wide variety of investment advisory, securities, and regulatory matters. As a member of our legal team, you will work closely with and report to our General Counsel, and just as importantly, collaborate with all other departments, including product, design, engineering, marketing and compliance, to provide the best client experience possible. Responsibilities:

  • Creatively configure compliant solutions and provide advice for sound business decisions in view of relevant legal and regulatory requirements and risks; -
  • Support an extremely fast-moving business with tight deadlines while providing diligent and thorough work product;
  • Analyze and provide guidance on evolving laws, rules, regulations, and trends impacting the investment management and financial advisory industries, including: (1) Securities Act of 1933, Securities Exchange Act of 1934, and other related investment-related statutes and regulations (2) Investment Advisers Act of 1940 and (3) other federal and state financial services-related laws, rules and regulations;
  • Advise with respect to legal and regulatory matters for the company's investment advisory entities;
  • Assist with the development of new lines of business and financial advisory products by: (1) embedding yourself in the project development team upon project launch (2) working closely and proactively with other project team members to identify potential legal and regulatory issues (3) crafting compliant solutions that avoid or minimize inefficient use of product, design and engineering resources and speed product launches and (4) drafting related agreements, policies, procedures and disclosures;
  • Manage interactions with the SEC, FINRA and other regulatory authorities;
  • Interface with outside counsel;
  • Other duties as assigned by the General Counsel; Qualifications:
    • J.D. degree and licensed to practice in California, or the ability to apply for California's Registered In-House Counsel -
    • 8 to 12 years of relevant legal experience; in-house or start-up experience preferred; fintech strongly preferred
    • Familiarity and experience working with regulated entities and consumer-facing businesses -
    • Self-motivated and efficient, with good business judgment and a "take ownership" outlook -
    • Creative, with the confidence to present and advocate for the implementation of ideas -
    • Able to participate in developing company-wide strategic and operational goals, and work closely with business units in their operational execution -
    • Able to identify and analyze legal issues, draft key documents, and present clear recommendations - Everyone across the financial spectrum deserves to live secure and rewarding lives. In order to successfully serve clients across the United States, the Wealthfront team is focused on hiring team members with a diverse range of backgrounds, experiences and perspectives. We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. Wealthfront is a nextgen banking and investing service on a mission to build a financial system that favors people, not institutions. We help you grow your wealth through automated investing and savings tools and give you a complete picture of your financial life with an intuitive mobile app. Our ultimate vision is to optimize and automate all of our clients' finances and build what we call Self-Driving Money------. We want clients to be able to automatically deposit their paycheck into their Wealthfront Cash Account, and let us take care of the rest - pay their bills, top off their emergency fund or 401(k), and invest the rest in their Wealthfront Investing accounts based on their goals. Join us and help turn this industry on its head and build a service that our clients don't just like, they love.

Keywords: Wealthfront Corporation, Palo Alto , Regulatory Counsel, Legal , Palo Alto, California

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