Executive Director, Legal & Compliance

Executive Director, Legal & Compliance

Join a dynamic and innovative Insurtech company at the forefront of revolutionizing wealth management and retirement planning solutions. We specialize in leveraging cutting-edge technology to enhance financial security and empower individuals to achieve their long-term financial goals.

Position: Executive Legal & Compliance Attorney

• Develop and implement strategic legal and compliance initiatives to ensure adherence to broker-dealer and registered investment advisor laws and regulations.
• Provide expert guidance on regulatory requirements, compliance best practices, and risk management strategies.
• Collaborate with senior management to drive business growth while maintaining a robust regulatory framework.
• Oversee the review and negotiation of contracts, agreements, and legal documents pertaining to wealth management and retirement planning services.
• Conduct comprehensive legal research and analysis to support business decisions and mitigate legal risks.
• Serve as a key advisor to senior executives on legal and compliance matters impacting the business unit.
• Manage relationships with external legal counsel and regulatory agencies as necessary.

Executive Director, Legal & Compliance: Requirements

• Juris Doctor (JD) degree from an accredited law school and active membership in good standing with at least one state bar.
• Minimum of 10 years of experience in legal and compliance roles within the financial services industry, preferably with a focus on wealth management, retirement planning, and insurance.
• Deep understanding of broker-dealer and registered investment advisor laws and regulations (e.g., SEC, FINRA, state securities laws).
• Proven track record of developing and implementing effective compliance programs and policies.
• Strong leadership skills with experience building out a regulatory function