General Counsel- Financial Services, Compliance

Job Description

Seeking a highly skilled and analytical General Counsel to serve as the chief legal advisor for the organization, focusing on ensuring all operations and strategic initiatives comply with applicable laws, regulations, and industry standards. Series 7 and 24 license required.

General Responsibilities :

• Provide expert, strategic legal advice to senior leadership on all aspects of the business.
• Monitor, interpret, and advise on changes in laws and regulations relevant to the industry.
• Develop, implement, and maintain comprehensive compliance programs and policies.
• Conduct regular risk assessments and internal audits to identify and mitigate compliance risks.
• Oversee the drafting, negotiation, and review of various legal documents, including contracts, agreements, and policies.
• Proactively identify, assess, and manage legal and compliance risks to protect the company from financial, legal, and reputational damage.
• Work closely with internal teams, external counsel, and regulatory bodies to ensure effective legal and compliance strategies.

Required Qualifications