Corporate Counsel, YieldStreet

• J.D. from an accredited school
• 6-8+ years’ of relevant experience, of which 3+ years must have been at a government agency or in-house legal department (FinTech, broker-dealer, or insurance company preferred)
• Experience with the U.S. federal securities laws, the Investment Advisers Act of 1940 and U.S. broker-dealer laws and regulations required
• Experience with private funds required
• Experience with privacy laws, AML laws and advising FinTech companies preferred
• The ability and desire to develop expertise in new or unfamiliar areas of law
• Strong communication skills, detail-oriented and exceptionally organized
• Robust interpersonal and relationship-building skills
• Ability to multi-task and manage various projects, meet deadlines, excel under pressure and work independently

Desirable

• This candidate will report directly to our Director of Legal and work in a cross-functional environment involving legal, compliance, product and risk
• You will be directly responsible for regulatory, compliance and disclosure matters as well as advising on commercial matters, product and feature development
• In this role, you will work with teams across the organization to ensure that the business is compliant as it scales and launches new products
• Own the process for ensuring regulatory compliance as Yieldstreet expands both product offerings, geographies and types of investors
• Advise the company on legal issues and risks by employing practical business judgment and identifying actual business risks
• Advise on day-to day regulatory issues and broader entity strategy
• Monitor developments in the regulatory environment and emerging risks and advise leadership on necessary organizational or product changes
• Maintain a best-in-class risk management program that incorporates multi-jurisdictional and interdisciplinary areas of the law, including Advisers Act, Exchange Act, data and privacy, payment processing, banking services, anti-money laundering and fraud protection, advertising, telephone consumer protection and more
• Draft and maintain disclosure materials, including form ADV documents, in consultation with the GC and CCO
• Review and advise on offering materials, marketing materials and website disclosures for consistency with applicable marketing rules
• Assist with growth and maturation of our compliance and privacy programs, including attending relevant meetings and liaising with compliance consultants
• Draft compliance-related policies, privacy notices, whitepapers, and other external disclosures
• Support regulatory advocacy, legal interpretation and implementation programs across the portfolio
• Draft regulatory applications, regulatory comment letters and other regulatory communications
• Manage internal business relationships and communicate directly with internal business clients
• Draft and maintain policies and procedures related to Code of Ethics, Advisers Act compliance, data and information handling in consultation with the GC and CCO
• Prepare and coordinate documentation for regulatory submissions, product registrations, licenses and renewals