Wealthfront, Palo Alto, CA
Plan your future and invest your money with an automated advisor
- Creatively configure compliant solutions and provide advice for sound business decisions in view of relevant legal and regulatory requirements and risks;
- Support an extremely fast-moving business with tight deadlines while providing diligent and thorough work product;
- Analyze and provide guidance on evolving laws, rules, regulations, and trends impacting the investment management and financial advisory industries, including: (1) Securities Act of 1933, Securities Exchange Act of 1934, and other related investment-related statutes and regulations (2) Investment Advisers Act of 1940 and (3) other federal and state financial services-related laws, rules and regulations;
- Advise with respect to legal and regulatory matters for the company's investment advisory entities;
- Assist with the development of new lines of business and financial advisory products by: (1) embedding yourself in the project development team upon project launch (2) working closely and proactively with other project 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;
- Manage interactions with the SEC, FINRA and other regulatory authorities;
- Interface with outside counsel;
- Other duties as assigned by the General Counsel;
- J.D. degree and licensed to practice in California, or the ability to apply for California's Registered In-House Counsel
- 5 to 8 years of relevant legal experience; in-house or start-up experience preferred; fintech strongly preferred
- Familiarity and experience working with regulated entities and consumer-facing businesses
- 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
Our mission at Wealthfront is pretty simple: we believe that everyone deserves access to sophisticated financial advice. Over the past five years, Wealthfront has built a technology company focused on re-architecting the finance industry. Some might call us ‘robo-advisor’, but we promise we’re made up of humans. Our world-class research team develops sophisticated and time-tested investment strategies, and our product and engineering teams build the software that enables us to deliver them automatically and at scale, right to your phone.
Want to learn more about Wealthfront? Visit Wealthfront's website.
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