What are the responsibilities and job description for the Associate General Counsel & Compliance Officer position at Derivative Path?
Who We Are
Derivative Path (“DP”) is a SaaS company and private equity backed, technology focused capital markets and risk management firm that offers a best-in-class, end-user focused derivatives platform (“DerivativeEDGE” or “EDGE”) which clients can use independently for all interest rate and FX derivatives needs, front-office through back-office. We then support the technology offering with a full suite of risk solutions, execution, and support services provided by experienced capital markets professionals. We have four offices in two countries and over 200 clients.
The Opportunity
We are searching for a talented and motivated Associate General Counsel & Compliance Officer to join our Legal and Compliance team, reporting directly to the General Counsel/Chief Compliance Officer. You will play a key role in providing legal counsel and compliance expertise to the company, focusing on contracts with our customers, vendors and partners, corporate governance, and regulatory matters. You will be expected to work autonomously, apply strong legal reasoning, and solve problems efficiently in a dynamic and entrepreneurial environment. This is an exciting opportunity for someone who is both a strategic thinker and willing to dive into the details of everyday legal and compliance tasks, contributing to a fast-paced, entrepreneurial company while helping shape our legal and compliance framework.
What You'll Do
Derivative Path is an equal opportunity employer and does not discriminate based on any of the following: race, religious creed, color, age, sex, sexual orientation, gender identity, gender expression or gender characteristic, national origin, religion, marital status, medical condition, physical or mental disability, military service or veteran status, pregnancy, childbirth and related medical conditions, or any other classification protected by federal, state, and local laws and ordinances. Derivative Path offers a comprehensive benefits package, including health, dental, vision, 401k contribution, flexible spend accounts, and a generous paid time off policy.
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Derivative Path (“DP”) is a SaaS company and private equity backed, technology focused capital markets and risk management firm that offers a best-in-class, end-user focused derivatives platform (“DerivativeEDGE” or “EDGE”) which clients can use independently for all interest rate and FX derivatives needs, front-office through back-office. We then support the technology offering with a full suite of risk solutions, execution, and support services provided by experienced capital markets professionals. We have four offices in two countries and over 200 clients.
The Opportunity
We are searching for a talented and motivated Associate General Counsel & Compliance Officer to join our Legal and Compliance team, reporting directly to the General Counsel/Chief Compliance Officer. You will play a key role in providing legal counsel and compliance expertise to the company, focusing on contracts with our customers, vendors and partners, corporate governance, and regulatory matters. You will be expected to work autonomously, apply strong legal reasoning, and solve problems efficiently in a dynamic and entrepreneurial environment. This is an exciting opportunity for someone who is both a strategic thinker and willing to dive into the details of everyday legal and compliance tasks, contributing to a fast-paced, entrepreneurial company while helping shape our legal and compliance framework.
What You'll Do
- Provide timely and effective legal advice on a wide range of issues, including contracts, corporate governance, compliance, and regulatory matters
- Assist in the interpretation and application of financial regulations, including CFTC and NFA regulations and other regulatory frameworks. Perform surveillance activities
- Proven ability to utilize strong legal analysis and logical reasoning to issue spot legal risks and develop effective solutions on the fly and independently
- Independently draft, review, and negotiate contracts with clients, vendors, and partners.
- Advise the executive team and all staff on matters related to corporate governance and best practices
- Work closely with various teams, including finance, operations, and product, to provide legal and compliance guidance that supports business goals
- Be willing to roll up your sleeves and assist with routine legal and compliance tasks, contributing to the overall success of the company
- Juris Doctor (JD) with active state bar license to practice law
- 4 years of experience as an attorney, preferably at a technology or SaaS company and/or a law firm, with a focus on negotiating and managing contracts, corporate governance, business matters, and regulatory affairs
- Ability to independently apply logical reasoning to complex issues and provide clear, actionable solutions that are grounded in application of applicable laws and regulations
- Ability to thrive in a fast-paced, entrepreneurial work environment and manage competing priorities
- A proactive individual who can work independently, take ownership of tasks, and make decisions with minimal supervision
- Comfortable working with modern legal tech tools and systems
- Added bonus if you have a familiarity with financial markets, swaps, payments, foreign exchange, and/or applying CFTC regulations is highly desirable.
- Experience with managing SaaS contracts a major plus.
- Competitive bonus, base salary, and equity compensation
- 40 hours of sick time
- 18 days of PTO
- Fully remote, if desired. We have offices in Walnut Creek, CA, New York, NY and Chicago, IL (hybrid work is available).
- Paid parental leave
- 401K matching at 3%
- Competitive health benefits including HSA and FSA options, life insurance, and short-term disability
Derivative Path is an equal opportunity employer and does not discriminate based on any of the following: race, religious creed, color, age, sex, sexual orientation, gender identity, gender expression or gender characteristic, national origin, religion, marital status, medical condition, physical or mental disability, military service or veteran status, pregnancy, childbirth and related medical conditions, or any other classification protected by federal, state, and local laws and ordinances. Derivative Path offers a comprehensive benefits package, including health, dental, vision, 401k contribution, flexible spend accounts, and a generous paid time off policy.
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Salary : $160,000 - $180,000
