General Counsel and CCO

Secfi is the pre-wealth advisor for startup employees. We experienced first hand, and hear it every day from our clients, that managing startup equity is complex and daunting. Getting good quality advice is difficult and if you can find the right advisor very expensive. It is therefore often ignored and neglected. Secfi makes handling startup equity compensation simple and affordable. We build technology that helps employees make the right decisions for their equity compensation. By addressing their biggest concerns they can spend time on things they love doing most. We call it "Pre-Wealth Management".

Responsibilities:

We are looking for a General Counsel and Chief Compliance Officer to be responsible for all legal and compliance strategy and management for a fast growing fintech. You will be part of the management team and report directly into the CEO of Secfi. Projects that would fall under your responsibility are:

Provide sound advice to support business decisions with respect to legal and compliance requirements and risks for the broker-dealer and company as a whole.
Work cross-functionally with other teams where you proactively identify potential legal and regulatory issues and subsequently find constructive, creative and actionable solutions to allow the business to thrive.
Support the management team in drafting key partnership agreements and contracts
Design, implement and test compliance policies and procedures, and surveillance/monitoring reports on a periodic basis
Lead negotiations with third parties from legal standpoint
Overseeing & drafting relevant filings and other documents in need of legal/compliance reviews
Manage interactions with the SEC, FINRA and other regulatory authorities
Interface with and manage outside counsel

Core Qualifications:

Ability to practice law in California (or be able to in a short period of time)
10+ years of experience in the legal field, preferably working in the financial/banking services space, and/or tech space
Expertise in financial services - regulatory, compliance, transactional, capital markets, broker-dealer finance, asset management, etc.
Series 7 and Series 24 or ability to attain in less than 60 days
Humble and self-starter with exceptional interpersonal skills
Strong communication and team collaboration skills
Strong interest to help grow a small team to something big
Willingness to travel to our Amsterdam office
A fun person to work with!

Bonus Qualifications

5+ years of prior service as a CCO, CLO or General Counsel
Experience with VC backed tech or Fintech companies
Experience working in high growth start-ups
Strong understanding of equity compensation
Solid understanding of technology and working with product/engineering teams

Your benefits include

Competitive salary
Retirement benefits (401k)
Health care coverage
Employee-friendly equity plan
Attractive and flexible vacation & parental leave policy
Company sponsored lunches, snacks, drinks and team events
Great work environment designed to help your professional growth
And last but not least, a great and fun experience

Principals only. Please do not contact us with unsolicited services or offers