Regulatory Counsel – Milwaukee

  • Full Time
  • Milwaukee
  • Applications have closed

The Motley Fool

Who are we?

We are The Motley Fool, a purpose-driven financial information and services firm with nearly 30 years of experience focused on making the world smarter, happier, and richer. But what does that even mean?! It means were helping Fools (always with a capital F) demystify the world of finance, beat the stock market, and achieve personal wealth and happiness through our products and services.

What does this team do?

Our Legal Fools speak fluent legalese while walking a tightrope* and wearing a jester cap**. The Fool is a place where a lot of fun and a lot of work happen quickly. Our Legal team ensures that we maintain strict adherence to the laws and regulations that affect all of our work and fun. Noteworthy fiascoes that our Legal Fools have helped us avoid include [redacted], [redacted]  and of course I cant forget that time that the Recruiting team almost [redacted].

* tightrope optional

** jester cap highly encouraged.

What would you do in this role?

Comfortable with taking on new and unique challenges in a dynamic and fast-paced environment, you will advise and support the Fools expanding asset management and financial services businesses, which include several registered investment advisory entities managing an array of assets (including retail SMAs and mutual, hedge, and venture capital funds). We also have a registered broker-dealer to support our asset management business and explore other avenues of growth in the financial services sector. Youll be surrounded by Fools who move quickly, think brilliantly (we hope), and constantly look for ways to help investors. And we need someone like you to make sure we continue to color beautifully AND between the lines.

But what does this role actually do?

  • Draft and facilitate the filing of regulatory documents, such as Form ADV, Client Relationship Summaries, Form D and response letters to regulatory requests
  • Draft and review offering documents, such as prospectuses, private fund offering memoranda and subscription agreements
  • Counsel executives and employees as to legal and regulatory requirements
  • Actively assist business teams in designing and offering new financial products and services, and assess the impact of regulatory changes on our product line-up
  • Review marketing and advertising materials, as well as other external communications, including webpages and social media posts
  • Assist our compliance team with the drafting and implementation of compliance policies and procedures, and provide legal support to the Chief Compliance Officer, as needed
  • Review and draft commercial agreements

What do you need to apply?

  • 2+ years of relevant experience in a law firm or company
  • Practical knowledge of investment management law and securities regulation, particularly the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933, Securities and Exchange Act of 1934 and the relevant FINRA rules. Knowledge of ERISA a plus.
  • Practical knowledge of federal and state laws and regulations related to the marketing and advertising of financial services and products
  • Ability to reconcile business needs with regulatory and legal requirements
  • Ability to communicate legal concepts to non-lawyers
  • Desire to work both independently and collaboratively
  • Lead with integrity in all that you do
  • Juris Doctor (AKA J.D. degree) or the equivalent
  • Good standing membership in at least one U.S. state bar

Its even better if you have

  • Passion for the law and business, technology, and/or investing
  • Intellectual flexibility and enthusiasm for innovation
  • Hunger to learn and engage in thought leadership
  • Assertive humility
  • Ability to understand and embrace The Motley Fools philosophy, culture, values and goals

The Motley Fool is firmly committed to diversity, inclusion, and equity. We are a motley group of overachievers that have built a culture of trust founded on Foolishness, fun, and a commitment to making the world smarter, happier and richer. However you identify or whatever winding road has led you to us, please don’t hesitate to apply if the description above leaves you thinking, “Hey! I could do that!”

The Motley Fool has been twice named Glassdoors #1 Best Small Business to work for in the U.S., named to Inc.s Best Workplaces of 2020, named one of BuiltIns Best Places to Work in Colorado, and were a perennial favorite on Washingtonians list of Best Places to Work year after year. Below youll see a few of our perks, but check out this site for the complete list:

  • No vacation policy (not to be confused with a No vacation policy)
  • Paid maternity, paternity, and pet-ernity leave
  • $1,000 to invest when you start
  • Super low premiums for medical, dental and vision coverage
  • Comprehensive compensation package, including company equity

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