Legal Counsel

Key Responsibilities

• Legal Advisory and Business Support
• Provide strategic legal and commercial guidance.
• Mitigate legal risks and support the company’s ordinary businesses.
• Collaborate with compliance team, finance team, business teams, and other departments.
• Address complex legal matters in a dynamic and rapidly evolving financial and technology industry environment.

Regulatory Compliance and Risk Management

• Advisory on securities regulatory and licensing requirements.
• Liaise with regulators, external counsel, and in-house compliance officers.
• Provide legal guidance on US regulations governing AI applications in financial services.
• Advisory on cryptocurrency and digital asset regulations.
• Monitor legal and regulatory developments and develop strategies to ensure compliance.
• Respond to SEC, FINRA, and state regulatory inquiries, audits, investigations, and enforcement actions.

Contract Negotiation and Documentation

• Draft, review, and negotiate a broad range of agreements.
• Create and maintain legal and contractual templates.

Corporate Governance

• Provide legal guidance on US entity’s corporate governance matters.

Litigation and Dispute Resolution

• Oversee and manage external counsel in litigation and dispute resolution processes.
• Develop strategies for dispute resolution.

Leadership and Collaboration

• Work closely with cross-functional teams.
• Liaise regularly across business areas to ensure alignment of legal strategies and policies.
• Represent the Legal Department in fiduciary forums, risk committees, and board meetings.

Qualifications

• Juris Doctor (J.D.) from an accredited US law school, or equivalent law degree from a recognized and reputable institution.
• Licensed to practice law in at least one US state (required), admission to the New York or Texas Bar is strongly preferred.
• 3-7 years of post-qualification legal experience.
• Strong experience in corporate, commercial, and regulatory matters in the US.
• Demonstrated exposure to securities and broker-dealer regulation, investment adviser regulation, financial services, fintech, AI/machine learning businesses, cryptocurrency/digital assets, and/or data security and privacy.
• Hands-on experience advising a registered broker-dealer on SEC and FINRA rules is a must.
• Strong preference for in-house experience at a securities brokerage or broker-dealer; experience at a bank, financial institution, fintech, or technology company is also valued.
• Solid understanding of the legal and regulatory landscape for US securities laws and broker-dealer and investment adviser regulation, as well as AI applications.
• Familiarity with cryptocurrency and digital asset regulations, including token offerings, exchange licensing, stablecoin frameworks, and DeFi-related legal risks.
• Working knowledge of data security laws and cybersecurity compliance, including incident response obligations, vendor risk management, and cross-border data transfer requirements.
• Up-to-date knowledge of legal, regulatory, and market developments in the financial industry.
• A collaborative team player with an entrepreneurial mindset and the ability to work independently.
• Strong communication, analytical, negotiation, and drafting skills, with a proactive approach to risk mitigation.