General Counsel (Santa Monica)

An opportunity to play a key role in a critical area for a fast-growing financial services firm that is a first mover and market leader in the exciting and quickly developing digital asset (cryptocurrency) industry.  This highly collaborative role will report directly to the firm’s Chief Executive Officer, and work closely with heads of all business units as well as all founders/partners of the firm. The role has ultimate responsibility for all legal, regulatory and compliance matters for the firm and will provide a wide-ranging opportunity for leadership given its visibility into and across the firm’s multiple operating business lines.  Will work alongside a Compliance Officer. Ideal candidate would have a minimum of 10 years experience, including at a top law firm, as well as in-house experience at a financial services firm with responsibility for decision-making and directing discrete areas or matters.

Responsibilities Include (but are not limited to)

Directing strategic and day-to-day legal and regulatory matters for the firm and each of its business units, as well as partnering closely with the Compliance Officer on a full range of compliance issues and programming

Representing the firm’s legal interests in all matters with the various constituents - regulators, auditors, investors/clients, partners

Handling the legal needs of discrete project, regulatory and operating lines

Directing all litigation and regulatory examination/enforcement matters

Staying on top of rapid evolving market developments and reporting to firm leadership on matters relevant to ongoing business units

Broad scope of work includes (but not limited to) matters relating to securities laws, technology licensing, immigration, financial services, contract review, employment, intellectual property, financings

Act as Corporate Secretary with respect to certain related firm entities

Negotiating and drafting wide range of day-to-day agreements

Advise on complex and sophisticated financial and securities structuring matters

Position Requirements

Juris Doctorate & Relevant experience in financial services

Knowledge of FINRA and SEC rules and regulations for broker dealers; familiarity with CFTC

Knowledge of private placement and capital raising compliance and private placement due diligence

Ability to organize multiple high priority tasks to meet firm deadlines

Understanding or desire to learn about crypto-currencies and developing trends in the securities industry

Significant expertise and experience with some or all of the following areas: financial services, investment management, capital markets, private financing

Comfortable with risk, e.g., working in an environment with legal uncertainty where there is an emphasis on crafting workable solutions based on legal principles and frameworks applied to an evolving landscape

Ability to communicate at a management level (oral and written) and work well with others in a dynamic team environment.

Ability to work effectively and collaboratively with personnel across the organization, and others outside of the organization.

Strong problem-solving, understanding of financial institution operations, and organizational skills with the ability to present information logically and succinctly

Demonstrated ability to think critically and analyze and communicate complex information to all levels of management and staff

Proficiency in Microsoft Word, Excel, and PowerPoint as well as Adobe Acrobat Pro and SharePoint

Compensation:

An attractive compensation package will be offered to an exceptional candidate including:

Profit Sharing Plan

Health and Dental Insurance

Paid vacation and holidays

Plus we are a great place to work!

We thank everyone for their interest but only those candidates selected for an interview will be contacted.

Mail resume and cover letter to [email protected]