Senior Product & Regulatory Counsel - Investment Products

Job Description

• This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Senior Product & Regulatory Counsel - Investment Products based in the United States. This role offers the opportunity to shape the legal strategy behind innovative investment products within a fast-growing fintech environment. The Senior Product & Regulatory Counsel will serve as a strategic legal partner, helping design, launch, and scale financial products while navigating complex regulatory requirements. You will work closely with product, engineering, compliance, risk, and operations teams to build customer-focused solutions that meet evolving market standards. The position combines regulatory expertise, product counseling, cross-functional collaboration, and business impact. You will play a key role in translating complex financial regulations into practical guidance that enables innovation and responsible growth. This opportunity is ideal for a proactive legal professional who enjoys working in ambiguity, solving complex challenges, and influencing product decisions from early development through launch.
• Accountabilities: The Senior Product & Regulatory Counsel - Investment Products will provide strategic legal guidance across investment product development, regulatory matters, and business initiatives while acting as a trusted partner to cross-functional teams. Serve as the primary legal advisor for investment product offerings, supporting the full product lifecycle from ideation and development through launch and ongoing optimization. Advise product teams on new features, customer communications, disclosures, marketing materials, and operational decisions with regulatory implications. Partner closely with compliance, risk, engineering, and operations teams to integrate legal expertise into product strategy and execution. Support regulatory compliance efforts by interpreting requirements, evaluating approaches, and preparing teams for interactions with regulatory bodies. Provide guidance related to investment product regulations, including securities laws, advisory requirements, and industry standards. Collaborate with stakeholders to develop scalable processes and solutions that balance regulatory obligations with strong customer experiences. Translate complex legal and regulatory concepts into clear, actionable recommendations for business and product teams. Act as a strategic thought partner by identifying opportunities, managing risks, and helping teams make informed decisions. Contribute to broader legal initiatives beyond investment products, expanding expertise across fintech, payments, and financial services areas. Apply AI tools and emerging technologies to improve legal workflows, increase efficiency, and support smarter decision-making. Monitor regulatory developments, market changes, and evolving customer needs to proactively adapt legal strategies. Requirements: The ideal candidate is an experienced financial services attorney with strong regulatory knowledge, product counseling experience, and the ability to operate effectively in a fast-paced technology environment. 6+ years of legal experience, including at least 2 years focused on non-deposit investment products. Strong knowledge of investment-related regulatory frameworks, including the Investment Advisers Act, Securities Act, Investment Company Act, Regulation Best Interest, Form CRS/ADV, FINRA rules, and related requirements. Experience advising on financial products, fintech platforms, brokerage services, investment solutions, or similar regulated environments. In-house legal experience is preferred but not required. Experience working with regulatory agencies or within regulated financial services environments is a plus. Exceptional communication skills with the ability to tailor complex legal guidance for technical, business, and executive audiences. Strong ownership mindset with the ability to operate independently, navigate ambiguity, and proactively solve problems. Ability to collaborate effectively across product, engineering, compliance, risk, and operations teams. Strong interest and practical experience using AI tools within legal workflows or financial services contexts. Broader experience across financial services, payments, fintech, or related industries is highly valued. Ability to balance legal precision with commercial judgment and customer-focused thinking. Benefits: Competitive compensation package including base salary, equity opportunities, and comprehensive benefits. Target base salary range: $219,000 - $273,800 USD for employees located in major US markets such as New York City, Los Angeles, Seattle, or the San Francisco Bay Area. $197,100 - $246,400 USD for employees located in other US locations. $207,000 - $258,700 CAD for employees based in Canada. Remote-friendly work environment with flexibility across eligible locations in the United States and Canada. Equity compensation through stock options or restricted stock units. Competitive healthcare and wellness benefits. Opportunities to work on innovative fintech products with significant customer impact. Collaborative culture focused on ownership, learning, and professional growth. Opportunity to influence product strategy and shape the future of financial technology. Inclusive workplace committed to diversity, belonging, and equal opportunity.
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