Associate General Counsel & Compliance Officer, Derivative Path
$160-180k
+ Competitive bonus + Equity compensation
More information about location
Unified capital markets platform
Be an early applicant
Unified capital markets platform
101-200 employees
Be an early applicant
$160-180k
+ Competitive bonus + Equity compensation
More information about location
101-200 employees
Company mission
To democratize access to capital markets products and technologies for all market participants.
Role
Who you are
- This is an exciting opportunity for someone who is both a strategic thinker and willing to dive into the details of everyday legal and compliance tasks, contributing to a fast-paced, entrepreneurial company while helping shape our legal and compliance framework
- Juris Doctor (JD) with active state bar license to practice law
- 4+ years of experience as an attorney, preferably at a technology or SaaS company and/or a law firm, with a focus on negotiating and managing contracts, corporate governance, business matters, and regulatory affairs
- Ability to independently apply logical reasoning to complex issues and provide clear, actionable solutions that are grounded in application of applicable laws and regulations
- Ability to thrive in a fast-paced, entrepreneurial work environment and manage competing priorities
- A proactive individual who can work independently, take ownership of tasks, and make decisions with minimal supervision
- Comfortable working with modern legal tech tools and systems
- Added bonus if you have a familiarity with financial markets, swaps, payments, foreign exchange, and/or applying CFTC regulations is highly desirable
- Experience with managing SaaS contracts a major plus
What the job involves
- We are searching for a talented and motivated Associate General Counsel & Compliance Officer to join our Legal and Compliance team, reporting directly to the General Counsel/Chief Compliance Officer
- You will play a key role in providing legal counsel and compliance expertise to the company, focusing on contracts with our customers, vendors and partners, corporate governance, and regulatory matters
- You will be expected to work autonomously, apply strong legal reasoning, and solve problems efficiently in a dynamic and entrepreneurial environment
- Provide timely and effective legal advice on a wide range of issues, including contracts, corporate governance, compliance, and regulatory matters
- Assist in the interpretation and application of financial regulations, including CFTC and NFA regulations and other regulatory frameworks. Perform surveillance activities
- Proven ability to utilize strong legal analysis and logical reasoning to issue spot legal risks and develop effective solutions on the fly and independently
- Independently draft, review, and negotiate contracts with clients, vendors, and partners
- Advise the executive team and all staff on matters related to corporate governance and best practices
- Work closely with various teams, including finance, operations, and product, to provide legal and compliance guidance that supports business goals
- Be willing to roll up your sleeves and assist with routine legal and compliance tasks, contributing to the overall success of the company
Our take
Derivative trading often proves unattainable for many organizations due to barriers like limited access, complex compliance regulations, and intricate hedge accounting procedures. Derivative Path effectively addresses these challenges through its capital markets platform.
A key strength of Derivative Path lies in the collective expertise of its team, comprising seasoned professionals with backgrounds in private equity and venture capital from reputable institutions like Wells Fargo and Barclays. Leveraging this hands-on experience, the company adeptly meets the needs of financial institutions and trading firms. Providing institutions with a more efficient avenue for accessing capital markets, earning the company an impressive client roster that includes Simmons Bank and United Community Bank.
In the rapidly evolving landscape of capital markets technology, companies like AlphaSense vie for prominence. However, Derivative Path distinguishes itself by its dedicated focus on derivatives and an array of tools, differentiating itself from other trading fintechs primarily centred on data analysis.
Steph
Company Specialist at Welcome to the Jungle
Insights
35% employee growth in 12 months
Company
Funding (1 round)
Jun 2020
$35m
GROWTH EQUITY VC
Total funding: $35m
Company benefits
- Competitive bonus, base salary, and equity compensation
- 40 hours of sick time
- 18 days of PTO
- Hybrid work environment within the US
- Paid parental leave
- 401K matching at 3%
- Competitive health benefits including HSA and FSA options, life insurance, and short-term disability
Company HQ
Walnut Creek, CA
Leadership
Pradeep Bhatia
(Co-Founder & CEO)Started as an Investment Banking Associate at US Bank, before joining Societe Generale as VP of Leveraged Finance. Was Head of Bank Coverage at Wells Fargo.
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