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Flourish · 7 hours ago

Associate Counsel

New York, United States

Full-time

Onsite

Senior Level, Lead/Staff

$200K/yr - $262K/yr

10+ years exp

Flourish is a fintech company focused on supporting financial advisors with innovative technology solutions. The Associate Counsel will provide legal advice on regulatory compliance and support the development of new financial products while working collaboratively within the Legal and Compliance team.

BankingFinanceFinancial ServicesFinTech

Diversity & Inclusion

Responsibilities

Work within the Legal and Compliance Department to craft the legal strategy for novel and unique fintech businesses, products, and features

Provide and/or manage the legal services needed to support rapid product development

Proactively monitor, research and analyze regulatory and compliance requirements for existing and new products and businesses

Draft compliance policies and procedures where needed, and partner with Compliance on the implementation of applicable requirements

Assist with drafting and negotiation of agreements with services providers and business partners

Draft customer-facing agreements and disclosure documents

Review and approve marketing materials and disclosure documents in accordance with internally established Guidelines and provide guidance to marketing and business teams

Provide legal support in connection with regulatory exams and investigations

Qualification

Juris DoctorLegal experienceU.S. securities lawsInsurance lawsMortgage regulationsProject managementAnalytical skillsProfessional integrityInterpersonal skillsCommunication skillsSelf-starter

Required

Bachelor's degree

Juris Doctor and a member of the Bar in good standing (any state) and the ability to become licensed for in-house practice in New York if not currently licensed in New York

10+ years of experience in a legal setting or related experience

Excellent interpersonal and communication skills

Ability to identify issues and exercise sound judgment in a fast-paced environment

Ability to teach oneself about new and innovative areas of the financial services industry, with a particular focus on issues relevant to financial technology

Strong project management skills

High degree of ownership and sense of urgency

High moral character and professional integrity

Due to the nature of this position, as part of the background check process, candidates must be able to pass a fingerprint background check to qualify as a fingerprinted person under FINRA

Preferred

Knowledge of U.S. securities laws and other laws and regulations applicable to retail financial services (e.g., broker-dealer and investment adviser)

Knowledge of insurance laws and regulations relating to distribution of annuity products, including annuity best interest and suitability regulations, and insurance agencies

Knowledge of laws and regulations applicable to residential mortgage and related lending products

Prior experience working with a start-up or in a start-up environment