Assistant General Counsel

Title: Assistant General Counsel

Department: Legal

The Assistant General Counsel provides strategic legal guidance and operational support across the organization, with a focus on corporate governance, securities compliance, commercial transactions, and risk management. This role is critical in ensuring the company meets its obligations as a publicly traded financial technology firm while enabling business growth and innovation.

Duties/Responsibilities:

Corporate & Securities Law

• Support SEC reporting and compliance, including 10-Ks, 10-Qs, 8-Ks, proxy statements, and Section 16 filings.
• Advise on corporate governance matters, including board and committee operations, charters, and policies.
• Assist with annual shareholder meetings and related documentation.
  
  

Commercial Transactions

• Draft, review, and negotiate a wide range of commercial agreements, including SaaS, vendor, partnership, licensing, and NDAs.
• Collaborate with cross-functional teams (Sales, Finance, Product, and Operations) to support business initiatives and mitigate legal risk.
  
  

Regulatory Compliance

• Monitor and advise on applicable financial regulations, including those from the SEC, FINRA, CFPB, and other relevant bodies.
• Partner with Compliance and Risk teams to ensure adherence to internal policies and external regulatory requirements.
  
  

Risk Management & Dispute Resolution

• Identify and assess legal risks and recommend mitigation strategies.
• Manage pre-litigation disputes and coordinate with external counsel on litigation matters as needed.
  
  

Corporate Development & Strategic Initiatives

• Provide legal support for M&A activity, joint ventures, and strategic investments.
• Conduct due diligence and assist with integration planning and execution.
  
  

Policy & Training

• Develop and maintain internal legal policies and training programs to promote compliance and reduce risk exposure.
• Educate internal stakeholders on legal and regulatory developments affecting the business.
  
  

Education/Experience:

• Law degree (JD, LL.M) from an accredited law school; active bar membership in good standing.
• 6–10 years of legal experience, preferably with a mix of law firm and in-house counsel roles.
• Experience in securities law, public company governance, and fintech or financial services.
• Strong understanding of commercial contracts and regulatory frameworks.
• Excellent judgment, communication, and interpersonal skills.
• Ability to manage multiple priorities in a fast-paced, high-growth environment.
  
  

Physical Requirements:

• Prolonged periods sitting at a desk and working on a computer.
• Must be able to lift 15 pounds at times.