Regulatory Compliance Lawyer

| Greater NYC Area
Are you looking to transition into one of NYC's fastest scaling start-ups that has just completed a successful $100 million Series C funding round? Yieldstreet is hiring an in-house regulatory compliance lawyer with strong experience in compliance with securities laws and regulations and the Investment Advisers Act of 1940. This candidate will report directly to our General Counsel and work in a cross functional environment involving legal, compliance, product and risk. You will be directly responsible for regulatory, compliance and disclosure matters as well as advising on commercial matters, product and feature development. You will play an integral role in our growing organization. In this role, you will work with teams across the organization to ensure that the business is compliant as it scales and launches new products.

What you'll do:

  • Own the process for ensuring regulatory compliance as Yieldstreet expands both geographies and product offerings
  • Advise the company on legal issues and risks by employing practical business judgment and identifying actual business risks
  • Advise on day-to day regulatory issues and broader entity strategy
  • Monitor developments in the regulatory environment and emerging risks and advise leadership on necessary organizational or product changes 
  • Design a best-in-class risk management program that incorporates multi-jurisdictional and interdisciplinary areas of the law
  • Draft and maintain disclosure materials, including form ADV documents, in consultation with the GC and outsourced CCO
  • Review and advise on offering materials, marketing materials and website disclosures for consistency with SEC marketing rules
  • Assist with growth and maturation of our compliance and privacy programs, including attending relevant meetings and liaising with compliance and privacy experts
  • Draft compliance-related policies, privacy notices, whitepapers, and other external disclosures
  • Support regulatory advocacy, legal interpretation and implementation programs across the portfolio
  • Draft regulatory applications, regulatory comment letters and other regulatory communications 
  • Manage internal business relationships and communicate directly with internal business clients
  • Draft and maintain policies and procedures related to Code of Ethics, Advisers Act compliance, data and information handling in consultation with the GC and CCO
  • Prepare and coordinate documentation for regulatory submissions, product registrations, licenses and renewals
  • Assist with reviewing contracts and vendor agreements 

What you'll need:

  • J.D. from an accredited school 
  • 5+ years’ of relevant experience, of which 3+ years must have been at a government agency or in house legal department (FinTech, broker-dealer, or insurance company preferred) 
  • Experience with the U.S. federal securities laws and the Investment Advisers Act of 1940 and/or U.S. broker-dealer laws and regulations
  • The ability and desire to develop expertise in new or unfamiliar areas of law
  • Experience with privacy law, broker-dealer regulations, funds and advising FinTech companies preferred
  • Strong communication skills, detail-oriented and exceptionally organized
  • Robust interpersonal and relationship-building skills
  • Ability to multi-task and manage various projects, meet deadlines, excel under pressure and work independently

Bonus points for:

  • Broker-dealer experience
  • Privacy law experience 
  • Significant FinTech experience
  • Funds experience

About Yieldstreet

Yieldstreet is building the largest global digital wealth management platform to change the way wealth is created. With an investor-first approach, our investor community builds a diversified portfolio of investments outside of the stock market to generate passive income. Yieldstreet is giving unprecedented access to asset classes such as Real Estate, Marine, Legal, Art & Private Business Credit. We’re headquartered in New York City with offices in Brazil, Argentina, Malta and Greece.

Benefits 

We offer an attractive market compensation and benefits package including a stock option plan, health, dental & vision benefits, life insurance, unlimited paid vacation, sabbatical and paid holidays and that's before you even step in the office! 

This is an opportunity to work with a group of diverse, smart, and friendly people from 8 different countries who speak a total of 17 different languages. Our team is composed of successful entrepreneurs with combined exits of over $2B, and we continue to stay social during the pandemic with virtual social hours, exercise classes, meditation sessions, recipe sharing and so much more!

Yieldstreet is proud to be an equal opportunity employer. We celebrate diversity and are committed to providing an environment of mutual respect where equal employment opportunities are available to all applicants and teammates without discrimination or harassment based on race, color, religion, marital status, age, national origin, ancestry, physical or mental disability, medical​​​ condition, pregnancy, genetic information, gender, sexual orientation, gender identity or ​expression, veteran status, or any other status protected under federal, state, or local law.

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Technology we use

  • Engineering
  • Product
  • Sales & Marketing
    • JavaLanguages
    • JavascriptLanguages
    • PythonLanguages
    • RLanguages
    • SqlLanguages
    • ReactLibraries
    • ReduxLibraries
    • React NativeLibraries
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    • KubernetesDatabases
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    • MarketoLead Gen

Location

We're located in a beautiful new office in Midtown with a balcony overlooking Park Avenue, close to Grand Central and most major subway lines.
How Yieldstreet is Making a Difference: "These Types of Opportunities Didn't Exist Before"
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An Insider's view of Yieldstreet

What are some social events your company does?

My favorite part of Yieldstreet is our camaraderie. It’s refreshing to be part of a team that likes spending time together vs bolting for the door as soon as the clock strikes 5. We do group workouts, host guest speakers, do team outings, and go for dinners at popular spots like Vandal, Lavo and Nobu.

Meg

Chief of Staff

How do you collaborate with other teams in the company?

We collaborate across functional differences (your normal departmental divisions) and geographic distances. We not only share documentation about features and strategy, but also about the best spots to grab a bite, a drink, or to catch a show! Yieldstreet folks look out for each other, so our teams in Brazil, Argentina, Malta have followed suit.

Charlie

Product Manager

How has your career grown since starting at the company?

My career has grown tremendously in the year and a half at Yieldstreet. I started as the only Product Manager on the team, and as we've scaled, I have had the opportunity to grow the product team to six people. I was recently promoted to Director and now have a wide-ranging set of responsibilities and the capability to impact company strategy.

Glenna

Director of Product Management

How do you make yourself accessible to the rest of the team?

I sit amongst the team, grab lunch with the team, go to happy hours with the team and that is why I feel like I'm always in the know with the challenges and successes of the team. Being accessible doesn't have to just be scheduled and I expect that my team will / can come to me at any time or any place to address whatever needs to be addressed.

Matt

Head of Credit Underwriting

How does your team reward individual success?

I knew code wasn’t the only place I could contribute. Within a year I was involved on projects across 4 teams, was promoted to senior engineer, and now lead the mobile dev team. Last quarter I received our coveted Impala award, exemplifying that quarter’s mission: focus and blitz. My worst day at YS has been better than my best at any other job.

David

Senior Software Engineer

What are Yieldstreet Perks + Benefits

Yieldstreet Benefits Overview

We offer an attractive market compensation and benefits package including a stock option plan, health, dental & vision benefits, life insurance, unlimited paid vacation, sabbatical and paid holidays and that's before you even step in the office!

Culture
Partners with Nonprofits
Yieldstreet has raised money for Robin Hood for COVID-19 relief and has also raised money for United Hatzalah through the Yieldstreet Foundation.
Friends outside of work
Eat lunch together
Daily sync
Open door policy
Team owned deliverables
Team based strategic planning
Group brainstorming sessions
Pair programming
Open office floor plan
Diversity
Unconscious bias training
Diversity Employee Resource Groups
Yieldstreet launched its first women-focused Employee Resource Group in 2020.
Hiring Practices that Promote Diversity
Yieldstreet conducts inclusive and structured hiring processes that assess and evaluate all candidates equally, striving to hire the best and most diverse talent.
Health Insurance & Wellness Benefits
Flexible Spending Account (FSA)
Yieldstreet employees can contribute up to $2750 annually to their FSA. Yieldstreet also contributes to your HSA.
Disability Insurance
Dental Benefits
Vision Benefits
Health Insurance Benefits
Life Insurance
Wellness Programs
Onsite Gym
Team workouts
Mental Health Benefits
Retirement & Stock Options Benefits
401(K)
Company Equity
Child Care & Parental Leave Benefits
Generous Parental Leave
We provide up to 12 weeks of parental leave for the primary caretaker. Yieldstreet also provides 4 weeks of leave for the secondary caretaker.
Flexible Work Schedule
Summer Fridays!
Family Medical Leave
Vacation & Time Off Benefits
Unlimited Vacation Policy
Sabbatical
Paid Holidays
Perks & Discounts
Casual Dress
Commuter Benefits
Yieldstreet offers pre-tax commuter benefits for all employees.
Company Outings
Stocked Kitchen
Some Meals Provided
Employees get free lunch on Wednesday.
Happy Hours
Happy hours are frequently hosted by individual teams and company-wide.
Fitness Subsidies
Yieldstreet pays for fitness classes that we attend together as a team.
Home Office Stipend for Remote Employees
Each employee gets $300 for remote work supplies.
Professional Development Benefits
Job Training & Conferences
Yieldstreet offers employees professional development opportunities like the ability to attend job related conferences and seminars, leadership training, and 1-1 coaching for managers.
Lunch and learns
For example, New York Times best selling author, Alexa von Tobel recently held a lunch & learn about her new book "Financially Forward". All of our employees received a free copy of her book.
Cross functional training encouraged
Promote from within
Online course subscriptions available
Customized development tracks
Paid industry certifications
We don't have a budget for industry certifications but we pay for those that are relevant.
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