Associate General Counsel, Regulatory Products

This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for an Associate General Counsel, Regulatory Products based in United States. This is a high-impact legal role at the intersection of financial regulation, technology, and product innovation. You will serve as a strategic legal partner throughout the full product lifecycle, from early ideation through launch and ongoing iteration. Working closely with Product, Operations, Technology, Compliance, and senior leadership, you will help shape products and services designed for consumers. The role focuses on providing practical, business-minded guidance while navigating complex securities and financial regulations. You will advise on emerging areas including AI-powered tools, automated financial communications, ETFs, and research products. This position is ideal for an entrepreneurial attorney who can quickly assess regulatory risk and translate legal complexity into actionable guidance. You will play a key role in enabling responsible innovation while helping build trusted, compliant, and technology-forward financial products.

Serve as the primary legal advisor on the regulatory implications of new products, services, features, and business initiatives. Advise cross-functional teams on federal and state securities laws and regulations, including the Investment Advisers Act. Support products throughout the full development lifecycle, integrating legal and compliance considerations into product design and decision-making. Draft, review, and facilitate the filing of regulatory documents and other required legal materials. Partner with internal teams and external service providers to develop and implement compliance programs for new initiatives. Draft and review legal disclosures, terms of service, disclaimers, and other customer-facing materials supporting products and services. Advise on the regulatory implications of AI-enabled tools, automation systems, personalization technologies, and automated financial communications. Identify and manage legal and regulatory risks associated with marketing materials, disclosures, and member-facing communications. Draft and review agreements supporting product development and operational activities. Monitor regulatory developments, industry trends, and emerging legal risks, and proactively educate internal stakeholders on their potential impact. Requirements: 8+ years of legal experience gained in-house, at a law firm, or through a combination of both, with experience advising on product development in financial publishing, fintech, InvestTech, financial services, or a related environment. Deep substantive and practical knowledge of investment management law, securities regulation, and related requirements, with particular expertise in the Investment Advisers Act. Familiarity with consumer financial protection regulations applicable to consumer-facing products and services. Direct experience advising on AI-enabled tools, automation systems, personalization engines, or similar technologies within a regulated environment. Strong business judgment, with the ability to balance regulatory risk mitigation with commercial growth and product innovation. Excellent written and verbal communication skills, including the ability to translate complex legal and regulatory matters into clear, practical guidance for non-legal stakeholders. J.D. degree and active membership in good standing with at least one U.S. state bar. Benefits: Annual pay range of $260,000–$290,000 USD. High-impact opportunity to shape the development of technology-forward financial products and services. Exposure to emerging areas at the intersection of financial regulation, AI, automation, and consumer products. Strategic collaboration with senior leaders and cross-functional teams across Product, Operations, Technology, and Compliance. Opportunity to work in a dynamic, fast-paced environment focused on responsible innovation and practical legal guidance.

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