Associate General Counsel and Compliance Officer The candidate supports various departments including, but not limited to, sales, marketing, business development, and technology. Reviews, drafts and negotiates commercial agreements. Integrates legal, compliance, operational, and technology controls across multiple channels of deal flow. Advises the business on third-party and vendor relationships, including risk, due diligence, monitoring, and management. Stays current on regulatory, legal and industry developments. Ensures that customer applications, agreements, and compliance materials reflect current law and regulations. Updates internal policies and procedures. Conducts compliance monitoring and audits to evaluate the company's adherence to regulations, as well as internal policies and procedures. Manages compliance training (including content, audience and attendance) and prepares compliance reports. Supports General Counsel and Chief Compliance Officer in company-level initiations and special projects.
The candidate should have a JD with 5-8 years of experience, preferably within an in-house legal department, at a major law firm, and/or as a compliance generalist in the financial services industry (working capital advances, commercial lending, and/or fintech experience, a plus). Experience in financial service transactions and commercial negotiation. Familiarity with commercial lending regulations, Privacy Laws, CCPA, FDCPA, FCRA, UDAAP, CAN-SPAM, TCPA, marketing, sales and origination best practices. Propensity to learn business requirements quickly, analyze legal and commercial risks, and propose creative, business-oriented solutions. A proactive approach to legal and risk mitigation for growing companies. Superior written and verbal communication skills, as well as strong organizational skills. Skill in handling evolving priorities in a dynamic environment in a thoughtful and practical manner. Ability to relate well to co-workers and build effective business partnerships.
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