• Job Description

  Req#: 228777

  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.

• About the company

Notice