In-House Corporate Counsel, SEC & Compliance (Remote)

ShortList Recruitment Limited; United States; Remote; USD 120,000 - 160,000; Full time

Job summary

ShortList Recruitment Limited is seeking a Corporate Counsel for a fully remote role within a national financial services firm. You will be the in-house legal lead, focusing on commercial contracts and corporate matters while supporting the Investment Advisers Act compliance programme.

Ideal candidates have approximately two to three years of legal experience with SEC compliance exposure and are comfortable working directly with the CEO, sales, finance, and outside counsel to manage regulatory

Qualifications

• 2–3 years of legal experience with exposure to SEC compliance or registered investment adviser regulatory requirements.
• Experience reviewing and drafting client, vendor, confidentiality and consulting agreements.

Responsibilities

• Act as the primary internal legal resource for day-to-day corporate and commercial matters; escalate specialised issues to CEO or outside counsel.
• Review, draft and manage client, vendor, confidentiality and consulting agreements, including renewals and amendments.
• Partner with sales, finance and business leaders to resolve contract issues and find practical solutions.
• Serve as the main point of contact for outside counsel, coordinating matters and managing legal spend.
• Support Investment Advisers Act compliance programme, including regulatory filings and annual compliance reviews.
• Review marketing materials and client communications against SEC advertising rules.
• Help prepare for SEC examinations and track regulatory developments relevant to the business.
• Support corporate governance, board materials, entity maintenance and corporate projects.
• Build and maintain contract templates, playbooks and tracking tools for the legal function.

Skills

SEC compliance exposure

Commercial contracts management

General corporate governance

Regulatory awareness

Education

Juris Doctor

Job description

ShortList Recruitment Limited is seeking a Corporate Counsel for a fully remote role within a national financial services firm. You will be the in-house legal lead, focusing on commercial contracts and corporate matters while supporting the Investment Advisers Act compliance programme.

Ideal candidates have approximately two to three years of legal experience with SEC compliance exposure and are comfortable working directly with the CEO, sales, finance, and outside counsel to manage regulatory