Head of Legal

Head of Legal

About the Company

Innovative financial technology company modernizing critical infrastructure supporting public markets

Industry
Financial Services

Type
Privately Held, VC-backed

About the Role

The Company is seeking a Head of Legal to establish and lead its legal function, oversee legal matters across the business, and advise executive leadership and the board. Responsibilities include securities and regulatory guidance, corporate governance, financings, contracts, employment, privacy, intellectual property, and risk management. The role will build scalable legal processes and governance practices, manage outside counsel, and oversee or establish compliance activities. The Head of Legal will also support regulatory examinations, engage with regulators, advise on capital markets activities, and partner with product and technology teams to address evolving regulatory requirements. Candidates must hold a J.D. and active bar membership in good standing, with at least 10 years of securities law experience at a leading law firm, financial institution, or regulated financial services organization. Strong knowledge of U.S. securities regulations and experience advising senior leaders are required, along with the ability to work independently and balance legal risk with business needs. Experience building or overseeing compliance programs is highly desirable. Familiarity with regulated capital markets, regulatory examinations, financial market operations, state financial services requirements, and high-growth company transactions is beneficial; interest in emerging financial technologies is preferred.

Functions

• Legal