Assistant General Counsel, Regulatory (Fintech)

TL;DR

Assistant General Counsel, Regulatory (Fintech): Navigating complex regulatory frameworks to design innovative financial products and services with an accent on retail broker-dealer regulation and SEC/FINRA engagement. Focus on drafting policies, resolving customer account issues, and partnering cross-functionally to ensure compliance in a fast-paced environment.

Location: Hybrid: Must be based in Menlo Park, CA; New York, NY; or Washington, DC (in-person attendance expected at least 3 days per week)

Salary: $217,000 - $255,000 USD (Base pay for Zone 1)

Company

Robinhood is a financial services company on a mission to democratize finance for all.

What you will do

• Navigate regulatory frameworks to help the business design innovative financial products and services.
• Identify and draft necessary changes to systems and procedures to meet new rule requirements.
• Engage directly with regulators, including the SEC and FINRA.
• Draft agreements, policies, procedures, disclosures, and account documentation.
• Review marketing materials, advertisements, and other public communications.
• Research securities and brokerage questions and provide strategic legal analysis.

Requirements

• J.D. degree and membership in at least 1 U.S. state bar.
• 10+ years of legal practice experience specializing in advising retail broker-dealers.
• Expertise in SEC/FINRA rules, including Reg BI, Form CRS, and licensing.
• Experience supporting IRAs, trusts, and custodial accounts.
• In-house legal experience or experience at a federal/state financial regulatory agency.
• Must be based in New York, NY; Washington DC; or Menlo Park, CA.

Nice to have

• Experience working with options, privacy, advisory, or cryptocurrency.
• Experience with finance, technology, or start-up organizations.
• Experience in rulemaking and legislative advocacy efforts.

Culture & Benefits

• Performance-driven compensation including bonus programs and equity ownership.
• 100% paid health insurance for employees and 90% coverage for dependents.
• 401(k) matching, employer-paid life, and disability insurance.
• Flexible "Lifestyle wallet" for wellness and learning.
• High-end office experience with catered meals and comfortable workspaces.