Assistant General Counsel, Advisory

About the team + role

Robinhood is looking for an Assistant General Counsel to join our growing Advisory Legal team. We are looking for an attorney with experience in investment advisor regulation who is excited to work at the intersection of regulation, technology, and finance. This role is well suited for a highly adaptable and collaborative person, who can handle ambiguity and rapidly shifting priorities with flexibility and perseverance. This is an exciting opportunity to join a growing company and add to our mission to democratize finance for all.

The role is located in the office location(s) listed on this job description which will align with our in-office working environment. Please connect with your recruiter for more information regarding our in-office philosophy and expectations.

What you’ll do

• Navigate complex regulatory frameworks to help the business design innovative financial products and services
• Identify and draft necessary changes to the firm's systems and procedures to meet the requirements of new rules/regulations
• Engage with regulators, including the SEC and FINRA, and other external parties
• Draft agreements, policies and procedures, disclosures, account documentation, website materials, and regulatory filings
• Review marketing materials, advertisements, and other communications with the public
• Resolve customer account issues related to advisory accounts
• Monitor SEC/FINRA and SRO rule developments and make resulting recommendations
• Research investment advisor and brokerage questions and providing legal analysis and recommendations
• Partner cross-functionally with teams including litigation, compliance, product and government affairs

What you bring

• J.D. degree (or foreign equivalent) and membership in at least 1 U.S. state bar
• 10+ years of legal practice experience, specializing in advising investment advisors
• In-house legal experience at a federal or state financial regulatory agency, and with technology or start-up organizations
• Knowledge or expertise in the rules and regulations relevant to investment advisors, including for example: advisory contract rules, recordkeeping requirements, best execution requirements, the fiduciary duty, the marketing rule, and registration and disclosure requirements
• A track record of developing practical solutions to novel problems
• Ability to provide practical, strategic and business-oriented legal advice, and to effectively manage multiple time sensitive tasks
• Experience drafting comment letters, working with industry trade groups, and engaging in rulemaking and legislative advocacy efforts
• Exceptional project management and communication skills

What we offer

• Market competitive and pay equity-focused compensation structure
• 100% paid health insurance for employees with 90% coverage for dependents
• Annual lifestyle wallet for personal wellness, learning and development, and more!
• Lifetime maximum benefit for family forming and fertility benefits
• Dedicated mental health support for employees and eligible dependents
• Generous time away including company holidays, paid time off, sick time, parental leave, and more!
• Lively office environment with catered meals, fully stocked kitchens, and geo-specific commuter benefits

Last updated on Jul 25, 2024