VP of Legal and Compliance

| Greater NYC Area | Hybrid
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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
What we’re looking for:
  • 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.

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Location

We offer employees the choice and flexibility to work where you want from anywhere in the US or UK. We offer stipends to make home offices productive and for those who don't live near our NYC and London offices, to secure space when they want it.

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