Job description
Pontera is a fintech company on a mission to help people retire better. Our software platform enables retirement savers to get the help they need managing their 401(k) and other retirement plan accounts as part of a personalized strategy by their trusted financial advisor.
Pontera is used by financial advisors across the nation– from SMB to Fortune 500 RIA firms, independent broker-dealers, plan custodians, and plan advisors.
Backed by leading venture capital firms including ICONIQ Growth and Lightspeed Venture Partners, Pontera is built by talented individuals who share a dedication to helping people retire with greater security.
Our team is fast-growing and driven to become one of the largest fintech companies in the world. Our culture is built on a people-first principle: in a complex and numbers-driven industry, we never lose sight of the people we serve and work alongside. That’s where you come in.
DESCRIPTION
This pivotal role on our legal team will be responsible for helping to lead the strategy and execution on advising Pontera on compliance within financial services regulation, supervisory obligations and regulatory risk management. This position will play a key role in ensuring the continued growth of the company by ensuring adherence to evolving legal and regulatory requirements across the RIA space.
RESPONSIBILITIES
- Provide legal advice on applicable laws and regulations governing financial services such as:
- Monitor and interpret regulatory developments, rulemakings and enforcement actions, and assess their impact on the business
- Effectively work with the GTM teams to provide regulatory guidance to ensure we are supporting our clients
- Serve as a point of contact for inquiries or audits from federal and state regulators
- Conduct risk assessments and assist in implementing remediation plans for any compliance gaps
- Provide legal support for internal policies, procedures and frameworks related to regulatory matters
- Work as a close cross-functional collaborator with teams such as marketing, product and information security teams. Successfully collaborate with other members of the legal team such as Product Counsel to ensure integration of regulatory compliance into our products
REQUIREMENTS
- Experienced legal strategist with at least 10 years of legal experience, including a combination of experiences in-house and law firm.
- Strong foundation in the Investment Advisers Act of 1940, Securities Exchange Act of 1934, FINRA rules, ERISA & Retirement Account Regulations, Regulation S-P
- Experience working with securities regulators and associations
- Must be admitted to practice law and in good standing in at least one U.S. state or the District of Columbia. Active bar membership in the jurisdiction where the position is based (or eligibility for in-house counsel registration) is required.
- Plus:
- In-house experience with fintech and/or RIA
- Experience at state or federal regulatory agencies
- Familiarity with state money transmission laws
WHAT WE OFFER
- Compensation: $250,000 to $300,000 annually
- Opportunity: Have a major impact at a fast-growing startup that is revolutionizing the FinTech industry
- Team Culture: A collegial, collaborative, fun work environment with frequent team events
- Equity: All new hires are eligible for equity grant participation
- Healthcare: Comprehensive & affordable insurance benefits with a variety of plan options
- Retirement: 401(k) with employer match & employer-sponsored access to a retirement advisor
- Family Benefits: Paid parental leave & reimbursement program for family planning services (such as fertility treatments, adoption, or surrogacy
- Professional Development: Sponsored learning & development program (to cover classes, certifications, and more!)
- Food Perks: Fully stocked kitchen & lunch reimbursement program
- Work Flexibility: A hybrid office work model (In-Office Tues/Weds/Thurs and WFH Mon/Fri) & generous PTO day
Pontera is an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability status, protected veteran status, or any other characteristic protected by law.
