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 in search of a Head of Legal with a focus on financial crimes and compliance. This senior legal leader will be responsible for all legal matters within the business, including corporate governance, board support, financings, commercial contracts, employment, intellectual property, privacy, insurance, and equity compensation. The role involves serving as the primary legal advisor on securities regulation and market infrastructure requirements, building scalable legal processes, and advising on legal, regulatory, and business risks related to strategic initiatives. The successful candidate will also be tasked with managing outside counsel, overseeing regulatory compliance activities, and preparing the organization for regulatory examinations. Applicants for the Head of Legal position at the company should hold a J.D. and have a minimum of 10 years' of experience in securities law, with a strong knowledge of U.S. securities regulations. The role requires the ability to operate independently as a senior legal leader, excellent communication skills, and a preference for those with an interest in emerging financial technologies. Experience in building and leading compliance programs, as well as a background in regulated capital markets or financial infrastructure, is highly desirable. The ideal candidate will have a proven track record of supporting high-growth companies through expansion, fundraising, or strategic transactions, and may have participated in industry working groups or regulatory initiatives related to evolving securities regulation.
Functions
Head of Legal • Charlotte, NC, United States
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