VP of Legal and Compliance
Stash is investing, simplified. We are an investing platform that makes it easy for anyone to start with as little as $5. Through empowering our users with education and guidance, we help investors learn the basics so they can do it themselves, At Stash, we are working toward a future where investors are as diverse as our world.
We are seeking a VP of Legal and Compliance to lead our law and compliance teams and manage all legal aspects of our fintech organization. This is a unique opportunity to build the legal function of a fast-growing fintech startup essentially from the ground up and to lead the compliance team as it grows and scales with the business.
As our first dedicated in-house legal counsel, you will work closely with our C-Suite and with teams across the organization including business development, engineering, product, and marketing, as well as our broker-dealer and registered investment advisor subsidiaries.
What you’ll do:- Perform general in-house counsel activities related to a fast-growing company including advising on laws and regulations that affect operations and compliance obligations such as advising with respect to securities, contract, intellectual property and labor laws
- Help the company grow by navigating the complex regulatory terrain of Registered Investment Advisors, Broker Dealers, Bank Holding Company, and Lending and Bank regulations
- Prepare and review commercial contracts, partnership agreements and other documents for day-to-day business transactions
- Advise on corporate governance and securities matters
- Manage & create subscription, participation, operating agreements, policies, and disclosures for entire suite of personal financial technology products
- Manage the compliance & risk management function for the organization
- Advise on marketing strategy and approve all materials
- Create vendor contracts and contractor agreements
- Ensure that the company is in compliance with all current business process laws
- Assist in corporate governance and securities matters at the executive and board-level
- Interface with and manage multiple outside law firms
- Complete special projects as needed and other duties assigned
- J.D. degree from a top-tier law school and licensed to practice in New York, or the ability to apply for New York's in-house counsel exemption
- Minimum 8 years of legal experience, with 2+ years of experience in a top national or international law firm, experience with venture-backed companies a plus but not required
- Significant experience in Bank Holding Company Act, Dodd-Frank and Regulations K, Y, QQ, VV, WW, YY and other lending and fair credit laws and regulations;
- Experience in broker-dealers regulation and operation, the Investment Advisers Act, the Securities Act of 1933, and the Securities Exchange Act of 1934 is a strong plus but not required
- Familiar with a wide variety of general corporate and commercial transactional work
- Ability to work in a fast-paced environment and strong collaborative skills
- Ability to participate in developing company strategic and operational goals, and work closely with business units in their operational execution
- Ability to provide hands-on counsel to all levels of executive and non-executive associates
- Ability to identify and analyze legal issues, draft key documents, present clear recommendations, and assure legal compliance
- Strong project management skills
- Self-motivated and efficient, with good business judgment
- Creative, with the confidence to present and advocate for the implementation of ideas
**No recruiters, please.