Description

You will advise Product and Engineering teams on structuring, documenting, and launching investment and brokerage products, while negotiating commercial agreements and ensuring compliance with SEC, FINRA, and other regulations. This hybrid role is based in Los Angeles or San Francisco and requires in-office presence at least three days per week.

Requirements

• At least 5 years of post-JD experience at a major law firm, and/or a federal financial regulator (e.g., SEC, FRB, OCC, CFPB, CFTC), and/or a respected financial services or financial technology company
• Experience advising on products or services in a regulated financial environment (broker-dealer, investment adviser, asset management, payments, or comparable)
• Strong interest in broker-dealer and/or investment adviser regulation, with the ability to quickly go deep on rules that matter to the business
• Demonstrated ability to translate regulations into clear, actionable guidance for Product and Engineering teams
• Comfort working with technical and data-heavy products and curiosity about how systems work under the hood
• Meaningful experience drafting and negotiating complex commercial contracts, including technology/SaaS, data, financial services, or distribution agreements
• Ability to balance legal risk, regulatory expectations, and business objectives in negotiations
• High ownership mindset and comfort operating in a fast-moving, high-growth environment with evolving priorities
• Excellent written and verbal communication skills and the ability to tailor advice to engineers, executives, and regulators
• Collaborative, low-ego approach and a view of Legal as an enabler, not a blocker

Responsibilities

• Advise Product and Engineering on the design and launch of new investment and brokerage features, balancing innovation with regulatory obligations and operational realities
• Structure and document new products and programs, including advisor-facing tools, custodial features, trading and investment products, and related terms, disclosures, and policies
• Draft, review, and negotiate commercial agreements that support the platform, including SaaS, data, and technology licenses; brokerage, distribution, and partnership agreements; NDAs, MSAs, and statements of work
• Develop and maintain templates, playbooks, and fallback positions to help the business move quickly while managing legal and regulatory risk
• Partner closely with Compliance to ensure product designs and commercial arrangements align with SEC, FINRA, and other applicable rules and guidance
• Support regulatory interactions, including exams, inquiries, and informal outreach, by preparing responses, reviewing communications, and ensuring we can clearly explain and defend our legal positions
• Provide day-to-day counseling to cross-functional partners (Product, Engineering, Operations, GTM, Finance) on contract, regulatory, and risk questions
• Contribute to team culture and process improvements as Legal scales alongside the business