General Counsel & Senior Compliance Officer

SBG Funding; New York (NY); On-site; USD 150,000 - 200,000; Full time

Job summary

Join a leading financing firm as a General Counsel & Senior Compliance Officer in New York. In this pivotal role, you will advise on legal matters and lead compliance initiatives while ensuring the firm meets top regulatory standards. You'll influence policy and operations at a rapidly growing startup, shaping strategy and making a real impact in the business's success.

Benefits

Highly competitive salary

Robust benefits (health, dental, vision, 401k, etc.)

Generous PTO and flexible work arrangements

Modern office with amenities

Company events and happy hours

Qualifications

• Minimum 7-10 years of experience in legal and/or compliance leadership capacity.
• Proven track record in managing corporate compliance programs.
• Thorough knowledge of financial industry standards and regulations.

Responsibilities

• Oversee all legal matters including contract negotiations and litigation strategies.
• Develop and manage compliance programs aligned with regulations.
• Deliver reports to senior leadership and Board of Directors.

Skills

Contract negotiation

Regulatory interpretation

Risk management

Analytical skills

Communication skills

Leadership skills

Education

Juris Doctor (JD) from an accredited law school

Bachelor’s degree in Business, Finance, or related field

Professional certifications (e.g., CCEP, CRCM)

Job description

About SBG Funding

SBG Funding is one of the nation’s leading sources for business funding. We are a forward-thinking niche financing firm with years of experience in the commercial lending arena. Our mission is to provide fast, flexible, and affordable capital to small businesses nationwide.

General Counsel & Senior Compliance Officer

Job Description

As the General Counsel and senior Compliance Officer, you will serve as the organization's primary legal advisor and head of compliance. In this dual leadership role, you will oversee all legal matters—including contract negotiations, regulatory interpretations, and litigation strategies—while also ensuring the company maintains the highest standards of compliance in its operations. You will collaborate with executive leadership to establish best practices, manage risk, and drive business growth in a responsible and ethical manner.

How You’ll Make an Impact

Legal Strategy & Counsel

• Provide comprehensive legal support and counsel on corporate, commercial, and regulatory matters.

• Draft, review, and negotiate a wide range of agreements, including vendor, partnership, and financing contracts.

• Advise on strategic initiatives to ensure legal and regulatory compliance.

• Oversee outside counsel and manage litigation or dispute resolution when necessary.

Compliance Leadership

• Develop, implement, and manage a robust compliance program aligned with federal, state, and industry-specific regulations, particularly in commercial lending and brokerage.

• Conduct in-depth audits and risk assessments to identify compliance gaps; propose and execute corrective actions.

• Stay current with evolving laws, regulations, and best practices, and proactively incorporate relevant changes into company policies and procedures.

• Coordinate with regulatory agencies and external advisors on compliance-related issues, including responding to audits and inquiries.

Policy Development & Enforcement

• Draft, refine, and enforce internal policies, ensuring consistent application across all departments.

• Collaborate with department heads to integrate compliance requirements into day-to-day operations and strategic projects.

• Investigate and respond to potential policy violations, recommending corrective or disciplinary actions as needed.

Training & Education

• Design and lead training programs to educate employees on legal obligations, regulatory requirements, and ethical standards.

• Partner with Human Resources to maintain up-to-date compliance training modules tailored to different roles and responsibilities.

Reporting & Governance

• Deliver clear, concise compliance and legal reports to senior leadership and the Board of Directors.

• Provide strategic input on governance matters, such as corporate policies, board resolutions, and committee charters.

• Maintain accurate documentation of compliance activities, legal files, and internal investigations.

Why We’ll Love You

Education & Credentials

• Juris Doctor (JD) from an accredited law school; admitted to practice law in at least one U.S. jurisdiction.

• Bachelor’s degree in Business, Finance, or related field is preferred.

• Professional certifications (e.g., CCEP, CRCM) are a strong plus.

Experience

• Minimum 7-10 years of experience in a legal and/or compliance leadership capacity, preferably in financial services (commercial lending, brokerage, fintech, or related areas).

• Proven track record of developing and managing corporate compliance programs.

• Thorough knowledge of financial industry standards, regulations, and best practices.

Skills & Attributes

• Demonstrated expertise in contract negotiation, regulatory interpretation, and risk management.

• Exceptional analytical skills and attention to detail.

• Strong leadership, interpersonal, and communication skills, with the ability to convey complex legal concepts in plain language.

• Ability to manage multiple priorities in a fast-paced, high-growth environment.

Why You’ll Love Us

Competitive Compensation & Benefits

• We recognize the value of this senior role; we offer a highly competitive salary along with robust benefits (health, dental, vision, 401k, etc.).

• Generous PTO and flexible work arrangements promote work-life balance.

Collaborative Culture & Perks

• Enjoy our modern office stocked with coffee, beverages, and regularly catered lunches.

• Participate in company events and happy hours that foster a supportive, team-oriented environment.

• Work alongside passionate, ambitious colleagues who are committed to driving growth and innovation.

Opportunity to Make a Real Impact

• As a rapidly growing startup, we empower our leaders to shape company strategy and operations.

• You will have the freedom to influence policy, processes, and future initiatives—leaving a lasting imprint on our success.

Join SBG Funding and help us pave the way for small businesses to access the capital they need. As our General Counsel & Senior Compliance Officer, you’ll lead the legal and compliance agenda, guiding us through a critical phase of growth while ensuring we meet the highest standards of integrity and excellence.