Investment Management Attorney

Wealthfront

(Redwood City, California)
Full Time
Job Posting Details
About Wealthfront
Wealthfront is the only robo-advisor to offer both investment management and financial planning exclusively through software. Because of this approach, we've quickly become the automated advisor of choice among young people. Anyone can open a Wealthfront investment account with $500 to access a unique Passive+ investment strategy that includes a combination of a diversified portfolio of ETFs and tax minimization strategies.
Summary
Wealthfront is seeking a talented, passionate and experienced attorney to handle a wide variety of investment management legal and regulatory matters. As a member of our legal team, this person will work closely with and report to our General Counsel but just as importantly, will work closely with all our other departments, including the product and design, engineering, marketing and compliance teams, to provide the best client experience possible.
Responsibilities
* Creatively configure compliant solutions and provide advice for sound business decisions in view of relevant legal and compliance requirements and risks * Analyze and provide guidance on evolving laws, rules, regulations, and trends impacting the investment management and financial advisory industries, including: * Investment Advisers Act of 1940 and other federal investment-related laws, rules and regulations * Securities Exchange Act of 1934 and related regulations * FINRA rules * Assist with the development of new lines of business and financial advisory products by: * embedding yourself in the project development team upon project launch * working closely and proactively with other project team members to identify potential legal and regulatory issues, * crafting compliant solutions that avoid or minimize inefficient use of product and design and engineering resources and speed product launches and * drafting related agreements, policies, procedures and disclosures * Manage interactions with the SEC, FINRA and other regulatory authorities * Interfacing with and managing outside counsel * Other duties as assigned by the General Counsel
Ideal Candidate
* J.D. degree from a top-tier law school and licensed to practice in California, or the ability to apply for California's in-house counsel exemption * Minimum 4 years of legal experience, with 2 years of experience in a top-tier national or international law firm with other experience in-house / start-up preferred * Experience working with broker-dealers very strongly preferred * Ability to design creatively compliant solutions while not blocking progress by rotely minimizing risks * Ability to work in a fast-paced environment and strong collaborative skills * Ability to participate in developing company strategic and operational goals, and work closely with business units in their operational execution * Ability to provide hands-on counsel to all levels of executive and non-executive associates * Ability to identify and analyze legal issues, draft key documents, present clear recommendations, and assure legal compliance * Strong project management skills * Self-motivated and efficient, with good business judgment and “take ownership” outlook * Creative, with the confidence to present and advocate for the implementation of ideas
Compensation and Working Conditions
Reports to General Counsel

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