US Corporate Counsel & CCO

US Corporate Counsel & CCO

The Company

InvestX Capital Ltd. is a young fast-moving company launched in March 2014 backed by a number of institutional investors. InvestX gives broker dealer’s institution and retail high net worth clients access to exclusive late-stage investments like DocuSign, Spotify, Palantir, Airbnb, Pinterest, and Dropbox in retail size allotments for the first time. Growth equity is one of the top-performing asset classes but until InvestX, had only been available to a few investors.

InvestX has been featured and covered by the Wall Street Journal, Fin Alternatives, Dow Jones, Globe & Mail, Thomson Reuters, New York Times, and others.

The Position

In this role, you will work with a team of strong, focused professionals who are setting the bar for work in the private markets. You will work in conjunction with InvestX’s Canadian legal/compliance officer to manage the Company’s legal affairs as they relate to our US corporate initiatives. This role will require guidance to help the Company navigate through applicable securities laws and regulations as it continues to grow in the US, reviewing and drafting US legal agreements, consulting with US external counsel, and oversight on all US related legal affairs. You will also conduct regulatory analysis and manage all US related compliance responsibilities to assess, remediate, and monitor compliance risks. You will assume the Chief Compliance Officer role for our broker-dealer and ATS.  Our BD executes trades and offerings of private shares and does not manage client assets.  The ideal candidate will have experience with US corporate and securities laws, experience in a compliance and management capacity, and a strong working knowledge of SEC, FINRA regulations as they pertain to private placements (under Reg D offerings).

Location:  New York or Vancouver

Responsibilities

  • Draft, revise, and negotiate agreements on behalf of the Company as related to US securities laws/regulations
  • Initially assume various operational tasks while the Company scales and grows
  • Monitor and assist in the management of US-related corporate initiatives (including electronic trading platform)
  • Educate and train Company personnel on current and impending regulations as well as industry best practices
  • Knowledge of US legal/compliance requirements and related internal controls
  • Familiarity with industry practices and professional standards
  • Work side by side with the Company’s Canadian legal/compliance officer
  • Review and revise sales and marketing materials, website terms of use, and other collateral items for compliance with applicable US federal and state laws and regulations
  • Report to the Chief Operating Officer of the Company

Qualifications

  • 5+ years of related legal and compliance experience required
  • Admitted to practice in New York (or another state) and in good standing
  • Proven experience in drafting and negotiating commercial and securities agreements
  • Must be self-motivated, entrepreneurial, and ‘outside the box’ thinker with excellent time management and interpersonal skills
  • Ability to manage changing priorities and a diverse range of legal duties, and a desire to innovate and excel
  • Possess a high level of independence, initiative, creativity, and attention to detail using excellent business judgment as well as strategic thinking skills
  • Financial services industry experience strongly preferred, including any experience with SEC, FINRA related regulations, private placement broker-dealers, RIAs, private fund formation, legal entity filings, and corporate governance
  • The primary focus is the U.S.; may include some international commercial work

If this opportunity sounds like it is a good match with your skills, background, and career direction, please apply through our Careers Page with your cover letter and resume.