Senior Regulatory Counsel

Pontera is a fintech company on a mission to help people retire better. Our software platform enables retirement savers to get the help they need managing their 401(k) and other retirement plan accounts as part of a personalized strategy by their trusted financial advisor.

Pontera is used by financial advisors across the nation– from SMB to Fortune 500 RIA firms, independent broker-dealers, plan custodians, and plan advisors.

Backed by leading venture capital firms including ICONIQ Growth and Lightspeed Venture Partners, Pontera is built by talented individuals who share a dedication to helping people retire with greater security.

Our team is fast-growing and driven to become one of the largest fintech companies in the world. Our culture is built on a people-first principle : in a complex and numbers-driven industry, we never lose sight of the people we serve and work alongside. That's where you come in.

DESCRIPTION

This pivotal role on our legal team will be responsible for helping to lead the strategy and execution on advising Pontera on compliance within financial services regulation, supervisory obligations and regulatory risk management. This position will play a key role in ensuring the continued growth of the company by ensuring adherence to evolving legal and regulatory requirements across the RIA space.

RESPONSIBILITIES

• Provide legal advice on applicable laws and regulations governing financial services such as :
• Monitor and interpret regulatory developments, rulemakings and enforcement actions, and assess their impact on the business
• Effectively work with the GTM teams to provide regulatory guidance to ensure we are supporting our clients
• Serve as a point of contact for inquiries or audits from federal and state regulators
• Conduct risk assessments and assist in implementing remediation plans for any compliance gaps
• Provide legal support for internal policies, procedures and frameworks related to regulatory matters
• Work as a close cross-functional collaborator with teams such as marketing, product and information security teams. Successfully collaborate with other members of the legal team such as Product Counsel to ensure integration of regulatory compliance into our products

REQUIREMENTS

In-house experience with fintech and / or RIA

WHAT WE OFFER

$250,000 to $300,000 annually

Have a major impact at a fast-growing startup that is revolutionizing the FinTech industry

A collegial, collaborative, fun work environment with frequent team events

All new hires are eligible for equity grant participation

Comprehensive & affordable insurance benefits with a variety of plan options

401(k) with employer match & employer-sponsored access to a retirement advisor

Paid parental leave & reimbursement program for family planning services (such as fertility treatments, adoption, or surrogacy

Sponsored learning & development program (to cover classes, certifications, and more!)

Fully stocked kitchen & lunch reimbursement program

A hybrid office work model (In-Office Tues / Weds / Thurs and WFH Mon / Fri) & generous PTO day

Pontera is an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability status, protected veteran status, or any other characteristic protected by law.

Create a Job Alert

Interested in building your career at Pontera? Get future opportunities sent straight to your email.

Apply for this job

indicates a required field

First Name

Last Name

Email

Phone

Resume / CV

Enter manually

Accepted file types : pdf, doc, docx, txt, rtf

Enter manually

Accepted file types : pdf, doc, docx, txt, rtf

LinkedIn Profile

Are you currently located within commuting distance to New York City and able to work in the office three days per week? (Our office is at the Empire State Building)

Are you legally authorized to work in the United States?

Will you now or in the future require sponsorship for employment visa status?

Voluntary Self-Identification

For government reporting purposes, we ask candidates to respond to the below self-identification survey.Completion of the form is entirely voluntary. Whatever your decision, it will not be considered in the hiringprocess or thereafter. Any information that you do provide will be recorded and maintained in aconfidential file.

As set forth in Pontera's Equal Employment Opportunity policy,we do not discriminate on the basis of any protected group status under any applicable law.

If you believe you belong to any of the categories of protected veterans listed below, please indicate by making the appropriate selection.As a government contractor subject to the Vietnam Era Veterans Readjustment Assistance Act (VEVRAA), we request this information in order to measurethe effectiveness of the outreach and positive recruitment efforts we undertake pursuant to VEVRAA. Classification of protected categoriesis as follows :

A "disabled veteran" is one of the following : a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or a person who was discharged or released from active duty because of a service-connected disability.

A "recently separated veteran" means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service.

An "active duty wartime or campaign badge veteran" means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense.

An "Armed forces service medal veteran" means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985.

Select...

Voluntary Self-Identification of Disability

Form CC-305

Page 1 of 1

OMB Control Number 1250-0005

Expires 04 / 30 / 2026

Voluntary Self-Identification of Disability

Form CC-305 Page 1 of 1 OMB Control Number 1250-0005 Expires 04 / 30 / 2026

Why are you being asked to complete this form?

We are a federal contractor or subcontractor. The law requires us to provide equal employment opportunity to qualified people with disabilities. We have a goal of having at least 7% of our workers as people with disabilities. The law says we must measure our progress towards this goal. To do this, we must ask applicants and employees if they have a disability or have ever had one. People can become disabled, so we need to ask this question at least every five years.

Completing this form is voluntary, and we hope that you will choose to do so. Your answer is confidential. No one who makes hiring decisions will see it. Your decision to complete the form and your answer will not harm you in any way. If you want to learn more about the law or this form, visit the U.S. Department of Labor's Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov / ofccp .

How do you know if you have a disability?

A disability is a condition that substantially limits one or more of your "major life activities." If you have or have ever had such a condition, you are a person with a disability. Disabilities include, but are not limited to :

Disability Status Select...

PUBLIC BURDEN STATEMENT : According to the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. This survey should take about 5 minutes to complete.

J-18808-Ljbffr