Interim General Counsel and Chief Compliance Officer (20-30 hours per week)

Major, Lindsey & Africa’s Interim Legal Talent group has an immediate need for an Interim General Counsel and Chief Compliance Officer (20-30 hours per week) for at least 6 months with strong Temp to Perm Potential

Overview: Major, Lindsey & Africa is seeking an experienced General Counsel and Chief Compliance Officer at a FinTech with at least 15 years of experience.

Company: An FinTech in the Venture Capital/ Funding Space

Experience: At least 15+ years of experience as a General Counsel and Chief Compliance Officer, implementing a Compliance Program, with experience inBroker-Dealer operations, FINRA regulatory frameworks, and New Member Applications (NMAs).

Location: Remote with a preference for candidates in the NYC Metropolitan Area.

Responsibilities Include:

• Lead the preparation, submission, and management of ClearCo’s New Member Application (NMA) with FINRA, ensuring completeness, accuracy, and timely responses to regulatory inquiries.
• Oversee compliance with SEC, FINRA, and state regulations, including the Securities Acts of 1933, 1934, and 1940.
• Develop and maintain Written Supervisory Procedures (WSPs), Compliance Manual, AML policies, Code of Ethics, and surveillance protocols.
• Serve as the primary liaison with FINRA, SEC, and other regulatory bodies; manage audits, examinations, and ongoing communications.
• Supervise representative registrations, licensing, continuing education, and regulatory filings.
• Implement and monitor internal controls to ensure compliance with the Bank Secrecy Act, USA PATRIOT Act, and FINRA Rule 3310.
• Advise senior leadership on compliance risks, regulatory developments, and strategic initiatives.
• Coordinate with legal, finance, and operations teams to ensure compliance integration across all business functions.

Legal Oversight

• Serve as the company’s chief legal advisor, providing counsel on corporate governance, commercial contracts, employment law, and intellectual property.
• Draft, review, and negotiate key agreements, including vendor, partnership, and client contracts.
• Manage external counsel relationships and legal budgets.
• Support board governance, including preparation of board materials and maintenance of corporate records.
• Oversee legal risk assessments and mitigation strategies across business units.
• Ensure legal compliance in product development, marketing, and customer engagement.

Preferred Attributes

• Experience supporting executive leadership and board-level governance.
• Prior oversight of pooled investment vehicles or private funds.
• Familiarity with emerging regulatory trends including ESG, privacy, and data protection.
• Ability to work independently and collaboratively in a high-stakes environment.

Qualifications Include:

• JD from an accredited law school and active bar membership in good standing.
• Minimum 15 years of combined legal and compliance experience, including leadership roles in Broker-Dealer or RIA environments.
• Demonstrated experience managing FINRA NMAs and direct engagement with regulators.
• Active FINRA Series 7, 24, and 26 licenses preferred.
• Strong working knowledge of AML/KYC regulations, securities law, and compliance technology platforms.
• Proven ability to manage legal risk in a fast-paced, regulated environment.
• Excellent communication, analytical, and decision-making skills.

Information regarding benefits can be found on MLA’s Website on the Consultant Resources Page: https://www.mlaglobal.com/en/consultant-resources

All interested and qualified candidates should apply directly with Major, Lindsey & Africa for review and consideration.

Major, Lindsey & Africa does not discriminate against applications on the basis of age, sex, race or any other protected characteristics pursuant to applicable state or federal laws.

Bullhorn ID: 228777