Advise on legal and regulatory issues related to the use of AI in broker-dealer functions, including trade surveillance, client onboarding, and compliance automation.
Draft, review, and negotiate contracts involving AI technologies, data usage, and third-party vendors.
Collaborate with compliance, risk, and technology teams to develop and implement AI governance frameworks.
Monitor and interpret evolving AI regulations (e.g., SEC, FINRA, EU AI Act) and assess their impact on business operations.
Provide legal support for AI model validation and development, explainability, accuracy and risk assessments.
Support incident response and regulatory inquiries involving AI systems or data.
Educate internal stakeholders on legal risks and best practices related to AI and data governance.

Requirements

Juris Doctor (JD) from an accredited law school; licensed to practice in at least one U.S. jurisdiction.
8–12+ years of legal experience, with a strong background in: AI, data privacy, cybersecurity, and technology law.
Broker-dealer and registered investment advisory regulatory compliance (SEC, FINRA, MSRB).

Benefits

401K matching
health benefits
employee stock options
paid time off
volunteer time off
competitive package

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools

legal analysiscontract negotiationAI governance frameworksdata privacy lawcybersecurity lawtechnology lawregulatory compliancerisk assessmentincident responsedata governance

Soft Skills

advisory skillscollaborationcommunicationeducational skillsstakeholder engagement

Certifications

Juris Doctor (JD)licensed to practice law