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Privacy and Regulatory Counsel

Company: Wealthfront Corporation
Location: Palo Alto
Posted on: November 21, 2022

Job Description:

Palo Alto, CA (Open to US-based Remote) / Wealthfront is seeking a talented, passionate, and experienced attorney to handle a wide variety of regulatory, investment advisory, and securities 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, operation, research, marketing, and compliance, to provide the best client experience possible. Responsibilities

  • Creatively configure solutions and provide advice for sound product and marketing decisions in view of relevant legal and regulatory requirements and risks
  • Analyze and provide guidance on evolving laws, rules, regulations, and trends impacting the investment management and financial advisory industries, including: (1) the Securities Act of 1933, Securities Exchange Act of 1934, and other related investment-related statutes and regulations, importantly offering guidance in light of the SEC's marketing rules and requirements and (2) other federal and state financial services-related laws, rules and regulations
  • Review and advise on company materials with respect to legal and regulatory matters for the company's investment advisory and broker-dealer entities
  • Assist with the development of new lines of business and financial advisory products by: (1) embedding yourself in the project and marketing campaign development process (2) working closely and proactively with other 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
  • Serve as Wealthfront's subject matter legal expert on all privacy issues, including across all aspects of privacy law and regulation
  • Monitor new and emerging developments in privacy laws and regulations, including identifying potential impacts on current and future Wealthfront's products and services
  • Interface with outside counsel
  • Support an extremely fast-moving business with tight deadlines while providing diligent and thorough work product
  • Other duties as assigned by the General CounselQualifications
    • J.D. degree and licensed to practice in California, or the ability to apply for California's Registered In-House Counsel
    • 5 to 7 years of relevant legal experience; in-house or start-up experience preferred; fintech or financial services strongly preferred
    • Familiarity and experience working with regulated entities and consumer-facing businesses, specifically SEC and FINRA registered entities
    • 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 started with the ambition to transform the investment advisory business, with the goal to unlock access to high quality investment advice for millions who were underserved by the traditional institutions. We built the first automated investment product that allows you to invest in a personalized portfolio of thousands of companies in seconds for a remarkably low fee; we then expanded into banking which made it remarkably easy for people to automate their finances end-to-end and eliminated the hassle of money management, all of which resulted in attracting more than $27 billion of our client's hard earned savings, created the robo-advisor category and transformed the broader industry. And yet, we have a long way to go to achieve our mission to build a financial system that favors people, not institutions. - Wealthfront's vision is to make it delightfully easy to build long-term wealth on your own terms. This vision is more relevant than ever because millions more people are getting into the market early and investing their hard earned savings in a handful of stocks. While this is a great way to start, it is inconsistent with building long-term wealth. We want to empower young investors to expand their horizon, and easily explore and execute on a wider range of investing strategies, make informed investment decisions that are consistent with their values and beliefs while also making it effortless to grow and compound their savings exponentially, that's transformational to their lives and their long-term future. -

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

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