Deputy/Associate General Counsel

Description:

A Marketplace for Pre-IPO Equity Company is a financial technology company, backed by leading venture and private equity investors. We're looking for an experienced, knowledgeable, and hardworking Deputy/Associate General Counsel, who has a strong interest in the pre-IPO space and private markets..
Since 2013, the A Marketplace for Pre-IPO Equity Company marketplace has made it easy to buy and sell shares in private companies. A Marketplace for Pre-IPO Equity Company brings together investors and shareholders, providing liquidity to early shareholders and private market access to accredited investors. With low investment minimums through our funds and with more than 35,000 private placements completed across 400+ companies, A Marketplace for Pre-IPO Equity Company leads the way in delivering “Private Markets for the Public”.
What You'll Do:

• Serve as the go-to person for corporate legal matters at A Marketplace for Pre-IPO Equity Company . Collaborate with internal A Marketplace for Pre-IPO Equity Company teams, including sales, asset management, compliance, and product
• Advise on new product development (from a legal and regulatory perspective)
• Own legal issues and risks, contract statuses and legal liabilities where needed, while liaising with Outside Counsel for advice and input.
• Manage, with the finance team, the annual legal budget.
• Develop and enhance template agreements reflecting A Marketplace for Pre-IPO Equity Company's expanding offerings, new regulations and other changes.
• Review advertising and marketing materials to ensure compliance with legal requirements.
• Assist in responding to SEC, FINRA and other regulatory and/or government inquiries, civil subpoenas or other matters, as needed.
• Assist in responding to user complaints and privacy requests.
• Negotiate, draft, and review contracts and agreements for A Marketplace for Pre-IPO Equity Company , including data processing agreements with vendors and partners.
• Own and generate content for training to company executives and employees on legal matters.

The Right Stuff

• Law degree from a recognized university and active New York bar membership
• Minimum of 7+ years experience with complex commercial matters, of which at least two years must be as in-house counsel within FinTech or Financial Services
• Experience in securities and regulatory law, specifically with unregistered offerings and private markets

Bonus points if you have:

• Previous experience working in-house at a FINRA-registered broker-dealer
• '33 Act, ‘34 Act and/or '40 Act experience
• Private Placement experience
• Previous experience working at the SEC, FINRA, or other regulatory bodies
  

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