Senior Counsel - Investment Products

Job Summary

A company is looking for a Senior Counsel - Product & Regulatory (Investment Products).

Key Responsibilities

• Serve as the primary legal advisor for investment products, supporting new feature development and advising on regulatory impacts
• Collaborate with cross-functional teams, providing legal insights early in the product development process
• Work with the compliance team on regulatory matters and support examination readiness with relevant regulatory bodies

Required Qualifications

• 6+ years of legal experience, with a minimum of 2 years focused on non-deposit investment products
• Familiarity with relevant regulatory frameworks such as the Investment Advisers Act and FINRA rules
• Some in-house experience preferred; exposure to regulatory agencies is a plus
• Strong working knowledge of AI use cases within legal roles or financial services
• Broader experience in financial services, payments, or fintech is beneficial