Provide management, leadership, strategic direction and oversight for the Legal and Compliance functions and staff.
Proactively identify and provide risk-weighted advice to the business
Keep informed of relevant new legal developments and the evolving regulatory landscape around financial regulations and digital assets applicable to the company’s business
including federal and state laws, regulatory guidelines, SEC reporting, lending, and cryptocurrency
and advise internal clients accordingly.
Partner with others to ensure public company SEC reporting requirements are met. With outside counsel and financial team, prepare and review reports filed with the SEC including disclosures on Forms 10-K, 10-Q, and 8-K, Section 16 reporting and annual proxy statement.
Drafting new and review existing contracts and agreements relating to the companies’ operational activities both internally and externally.
Partner with external subject matters and engage outside counsel as needed, acting as the interface between business teams and external assistance and managing legal assignments and expenses.
Oversee the company’s compliance staff, program, policies, education, procedures and controls to ensure compliance and mitigate risk.
Coordinate with the COO and the Executive team to support corporate governance activities and liaison with the Board of Directors.

Juris Doctor degree and licensed attorney who is a member in good standing with at least one state bar and has ability to get a single client license in CO as needed.
10+ years of related experience as in-house counsel or in a large firm with a professional background in commercial transactions, ideally in the lending industry.
Strong knowledge in U.S. financial services regulations, with a working knowledge of corporate, data and consumer protection laws and substantial experience working on SEC reporting, consumer lending regulations, licensing and transactions, Delaware corporate law, M&A, and corporate governance/compliance matters and/or investment management.
Knowledge of cryptocurrency compliance and regulations is a plus.

Chief Legal Officer

Key skills