Legal Counsel
New
A
AlpacaFinancial Services
Remote - United StatesFull-TimeSenior
SalaryCompetitive Salary & Stock Options
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Job Details
- Experience
- 5-7+ years
Requirements
- J.D. degree (or foreign equivalent) and active membership in at least one U.S. state bar.
- 5-7+ years of legal experience, with at least 3 years focused on U.S. broker-dealer regulation, including the Securities Exchange Act of 1934, regulations and rules thereunder, FINRA rules, and other federal and state securities laws.
- Familiarity with U.S. cryptoasset regulatory regimes, including the SEC, CFTC, NYDFS, FinCEN, and AML requirements.
- Strong experience advising fintechs or financial institutions, ideally in a startup or growth-stage environment.
- Demonstrated ability to deliver strategic, business-oriented legal advice under tight deadlines.
- Excellent written and verbal communication skills and a practical, collaborative working style.
- Strong judgment, self-motivation, and the ability to work independently and manage multiple projects.
- Comfort with ambiguity and a growth mindset in a fast-scaling company.
Responsibilities
- Navigate complex regulatory frameworks to help the business design and implement innovative financial products and services.
- Lead legal reviews of product design, marketing, and customer onboarding processes to ensure compliance with applicable regulations while enabling business growth.
- Support other areas of the business, such as digital assets, payments, and data privacy, as needed.
- Advise on the application of new or anticipated legal requirements and regulatory guidance to the firm’s systems, policies, and procedures.
- Monitor regulatory developments at relevant governmental agencies and self-regulatory organizations, including the SEC, FINRA, CFTC, FinCEN, and OFAC.
- Support the company’s engagement with regulators, including the SEC, FINRA, and other agencies.
- Draft agreements, disclosures, policies, and procedures.
- Conduct legal research and analysis on novel questions and provide clear, practical guidance to internal stakeholders.
- Manage litigation, arbitration, and other disputes, including developing case strategy, coordinating with outside counsel, responding to claims and discovery, and advising the business on risk and resolution options.
- Partner cross-functionally with teams outside of Legal, including the firm’s Product, Brokerage, Crypto, Compliance, Anti-Money Laundering, Sales, and Success functions.
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