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Privacy And Regulatory Counsel
Refer job# LZDP171516
 
Privacy and Regulatory Counsel The candidate will creatively configure solutions and provide advice for sound product and marketing decisions in view of relevant legal and regulatory requirements and risks. Analyze and provide guidance on evolving laws, rules, regulations, and trends impacting the investment management and financial advisory industries, including: (1) the Securities Act of 1933, Securities Exchange Act of 1934, and other related investment-related statutes and regulations, importantly offering guidance in light of the SEC's marketing rules and requirements and (2) other federal and state financial services-related laws, rules and regulations. Review and advise on company materials with respect to legal and regulatory matters for the company's investment advisory and broker-dealer entities. Assist with the development of new lines of business and financial advisory products by (1) embedding yourself in the project and marketing campaign development process (2) working closely and proactively with other team members to identify potential legal and regulatory issues (3) crafting compliant solutions that avoid or minimize inefficient use of product, design and engineering resources and speed product launches and (4) drafting related agreements, policies, procedures and disclosures. Serve as Wealthfront's subject matter legal expert on all privacy issues, including across all aspects of privacy law and regulation. Monitor new and emerging developments in privacy laws and regulations, including identifying potential impacts on current and future Wealthfront's products and services. Interface with outside counsel. Support an extremely fast-moving business with tight deadlines while providing diligent and thorough work products. Other duties as assigned by the General Counsel.

The candidate should have a J.D. degree and be licensed to practice in California, or the ability to apply for California's Registered In-House Counsel. Should have 5-7 years of relevant legal experience; in-house or start-up experience preferred; fintech or financial services strongly preferred. Familiarity and experience working with regulated entities and consumer-facing businesses, specifically SEC and FINRA-registered entities. Self-motivated and efficient, with good business judgment and a take ownership  outlook. Creative, with the confidence to present and advocate for the implementation of ideas. Able to participate in developing company-wide strategic and operational goals, and work closely with business units in their operational execution. Able to identify and analyze legal issues, draft key documents, and present clear recommendations. Strong project management skills.
 
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