Regulatory Compliance Counsel

Summary

Join Human Interest, a high-growth tech company revolutionizing the retirement industry, as a Regulatory Compliance Counsel. You will be a key member of the legal team, providing expert guidance and driving compliance excellence for our subsidiary. This role demands a sophisticated understanding of RIA regulations and hands-on experience in FinTech or financial institutions. You will collaborate with senior leaders and cross-functional teams, ensuring the highest standards of integrity and compliance. This is a unique opportunity to leverage your expertise in a fast-paced environment and make a significant impact. Human Interest offers a mission-driven culture and a comprehensive benefits package.

Requirements

• J.D. from a top-tier accredited law school and admission to a state bar
• 8+ years of legal experience advising on regulatory matters affecting RIAs and BDs, with a strong focus on SEC, FINRA, and state regulatory compliance
• Proven expertise in the Investment Advisers Act of 1940, Securities Exchange Act of 1934, and related regulations
• Demonstrated success working at a leading FinTech company, financial institution, or top-tier financial services practice group
• Strong track record of partnering with high-performing teams in technology, compliance, or financial services environments
• Exceptional written and verbal communication skills, with the ability to explain legal and regulatory concepts to diverse stakeholders, including senior executives
• Highly organized and detail-oriented, with the ability to manage multiple complex projects simultaneously
• A proactive, solutions-oriented mindset with the ability to navigate ambiguity in a fast-paced environment
• Collaborative team player who builds relationships and influences outcomes across all levels of an organization

Responsibilities

• Act as a trusted advisor to internal and external clients, offering sound legal guidance and helping navigate regulatory challenges
• Build strong relationships with key stakeholders across the organization, including senior leadership, compliance, product, and marketing teams
• Collaborate with cross-functional teams to deliver integrated legal solutions that support product development, marketing initiatives, and operational excellence
• Stay ahead of regulatory changes, proactively identifying risks and opportunities for Human Interest to remain a market leader in compliance
• Serve as a primary legal advisor to HIA, providing actionable guidance on complex regulatory frameworks under the SEC, FINRA, and state securities laws
• Draft, review, and maintain critical regulatory documents, including Form ADV filings, and other essential compliance policies
• Counsel on key statutes and regulations, including the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and SRO rules, ensuring HIA’s operations remain compliant while enabling innovation
• Partner with product, compliance, and technology teams to advise on the development, operation, and management of innovative investment services and solutions
• Provide legal oversight and strategic guidance to ensure compliance with the SEC’s Advisers Act Marketing Rule, including review of client-facing materials, advertising, and digital content
• Work collaboratively with marketing and product teams to develop strategies that meet business goals while maintaining full regulatory compliance
• Draft, negotiate, and review a variety of contracts, including advisory agreements, participant terms of service, vendor agreements, and third-party service contracts
• Counsel internal stakeholders on legal terms and risks in commercial arrangements, aligning agreements with regulatory requirements and business objectives
• Advise HIA’s Chief Compliance Officer and senior leadership on fiduciary duties, corporate governance matters, and securities law compliance
• Lead the development and implementation of compliance programs, manuals, and procedures to meet evolving regulatory expectations
• Support regulatory examinations and inquiries, preparing and advising stakeholders at all levels
• Develop and deliver tailored training programs to employees across departments to raise awareness of SEC regulations, RIA compliance, and critical legal considerations
• Build scalable training modules and resources to ensure continuous learning and compliance readiness across all teams

Benefits

• A great 401(k) plan: Our own! Our 401(k) includes a dollar-for-dollar employer match up to 4% of compensation (immediately vested) and $0 plan fees
• Top-of-the-line health plans, as well as dental and vision insurance
• Generous PTO and parental leave policies
• Addition Wealth - Unlimited access to digital tools, financial professionals, and a knowledge center to help you understand your equity and support your financial wellness
• Lyra - Enhanced Mental Health Support for Employees and dependents
• Carrot - Fertility healthcare and family forming benefits
• Candidly - Student loan resource to help you and your family plan, borrow, and repay student debt
• Monthly work-from-home stipend; quarterly lifestyle stipend
• Employee Resource Groups including Veterans, Lift Ev’ry Voice, Pride, LatinX, Families, and Women in Tech
• Fun online and regional events and celebrations and department and company offsites
• The vast majority of our positions can be 100% remote
• Base salary for this position spans $170,000 - $190,000
• Depending on the position, additional compensation components such as bonus, commission, and equity may be offered
• All of our employees are offered a robust suite of physical, financial and mental wellness benefits