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Corporate Counsel, Regulatory and Compliance

Yieldstreet

Yieldstreet

Legal
New York, NY, USA
Posted on Friday, December 15, 2023

Regulatory Compliance Lawyer

Yieldstreet is hiring an in-house regulatory compliance lawyer with strong experience in compliance with the Investment Advisers Act, the Securities Exchange Act and other securities laws and regulations. This candidate will report directly to our Director of Legal and work in a cross-functional environment involving legal, compliance, product and risk. You will be directly responsible for regulatory, compliance and disclosure matters as well as advising on commercial matters, product and feature development. You will play an integral role in our growing organization. In this role, you will work with teams across the organization to ensure that the business is compliant as it scales and launches new products.

What you'll do:

  • Own the process for ensuring regulatory compliance as Yieldstreet expands both product offerings, geographies and types of investors
  • Advise the company on legal issues and risks by employing practical business judgment and identifying actual business risks
  • Advise on day-to day regulatory issues and broader entity strategy
  • Monitor developments in the regulatory environment and emerging risks and advise leadership on necessary organizational or product changes
  • Maintain a best-in-class risk management program that incorporates multi-jurisdictional and interdisciplinary areas of the law, including Advisers Act, Exchange Act, data and privacy, payment processing, banking services, anti-money laundering and fraud protection, advertising, telephone consumer protection and more
  • Draft and maintain disclosure materials, including form ADV documents, in consultation with the GC and CCO
  • Review and advise on offering materials, marketing materials and website disclosures for consistency with applicable marketing rules
  • Assist with growth and maturation of our compliance and privacy programs, including attending relevant meetings and liaising with compliance consultants
  • Draft compliance-related policies, privacy notices, whitepapers, and other external disclosures
  • Support regulatory advocacy, legal interpretation and implementation programs across the portfolio
  • Draft regulatory applications, regulatory comment letters and other regulatory communications
  • Manage internal business relationships and communicate directly with internal business clients
  • Draft and maintain policies and procedures related to Code of Ethics, Advisers Act compliance, data and information handling in consultation with the GC and CCO
  • Prepare and coordinate documentation for regulatory submissions, product registrations, licenses and renewals

What you'll need:

  • J.D. from an accredited school
  • 6-8+ years’ of relevant experience, of which 3+ years must have been at a government agency or in-house legal department (FinTech, broker-dealer, or insurance company preferred)
  • Experience with the U.S. federal securities laws, the Investment Advisers Act of 1940 and U.S. broker-dealer laws and regulations required
  • Experience with private funds required
  • Experience with privacy laws, AML laws and advising FinTech companies preferred
  • The ability and desire to develop expertise in new or unfamiliar areas of law
  • Strong communication skills, detail-oriented and exceptionally organized
  • Robust interpersonal and relationship-building skills
  • Ability to multi-task and manage various projects, meet deadlines, excel under pressure and work independently

Bonus points for:

  • Privacy law experience
  • FinTech experience

About Yieldstreet

Yieldstreet is the leading private market investment platform. We believe that private market alternatives should be a fundamental part of your portfolio. That’s why we’re unlocking access to make it easier than ever to get started. We partner with top-tier investment managers to provide investors with a wide range of opportunities across real estate, venture capital, private equity, art, short term notes and more. All of our offerings are curated and vetted by our team to help investors diversify away from the stock market with confidence.

Why Yieldstreet?

Join a team of diverse, smart, and friendly people from 8 different countries who speak a total of 17 different languages who are on a mission to make alternative investments a fundamental part of the modern portfolio. Our team is comprised of successful entrepreneurs with combined exits of over $1B. We get social with each other during happy hours, exercise classes and team off sites! We are a hybrid work company giving you the opportunity to connect with your peers in real time with the flexibility to work remotely a few days per week.

What’s in it for you:
Competitive compensation packages including equity
Health, dental & vision coverage with FSA/HSA options
Unlimited PTO
401k Match
Learning and Development stipend
Wellness credit
Paid lunch once a week
Commuter benefit
Life insurance
Sabbatical
Summer Fridays

Compensation:

  • HIRING SALARY RANGE: $225,000+ (Actual salary to be determined by the education, experience, knowledge, skills, and abilities of the applicant, internal equity, and alignment with market data.) Compensation package also includes generous, bonus, benefits and equity.