FinTech Regulatory Associate

National Tech Law Firm

New York

Description:

The FinTech Group at a national law firm is looking for an ambitious and motivated Associate with 3-6 years of compliance and financial services regulatory experience to join them. Their fast-paced practice advises some of the fastest growing FinTech broker-dealers, robo-advisers and crypto-focused companies.

Preferred experience/interest  in: reviewing, researching and analyzing federal securities laws and regulations, as well as FINRA rules; forming FINRA member broker-dealers; advising crypto exchanges and other blockchain focused companies; reviewing FinCEN AML regulations and advising necessary compliance; licensing entities with states as money transmitters; responding to and navigating SEC, FINRA and state regulatory examination and/or enforcement processes; drafting written supervisory procedure manuals and anti-money laundering procedures; and drafting Form ADV and related procedures and contracts.

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