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About Whistler Partners
Whistler Partners is an innovative fintech marketplace that facilitates transactions between buyers and sellers of stock in pre-IPO firms. Leveraging cutting-edge technology and a top-tier capital markets team, we have established ourselves as the leading marketplace for "unicorn" stock globally. As we continue to grow following a successful funding round, we are looking for driven professionals to join our exceptional team.
Position Overview
In this position, you will deliver expert legal guidance while ensuring the seamless operation of our marketplace. This role is ideal for a mid-level to senior securities attorney with an entrepreneurial spirit, meticulous attention to detail, and a strong desire for personal and professional growth, seeking to transition from a traditional law firm or large corporation to a vibrant, fast-paced startup environment.
Key Responsibilities
- Provide counsel on a broad spectrum of intricate US securities law issues, focusing on private placements, fund operations, FINRA compliance, and broker-dealer regulations, while supporting the company's broker-dealer, private funds, and alternative trading system responsibilities.
- Establish yourself as the in-house authority on ongoing legal advice regarding new or changing regulatory requirements or risks that may affect the company's securities operations.
- Draft, review, and maintain transactional legal documents, including customer agreements, fee-related contracts, letters of intent, subscription agreements, and side letters.
About You
- Juris Doctor (JD) or Bachelor of Laws (LLB), with a valid license to practice law in at least one US state.
- A minimum of 5 years of relevant legal experience in a prestigious US law firm or corporate legal department.
- Experience advising fintech companies or financial institutions, including investment banks, private funds, exchanges, trading platforms, or broker-dealers.
- Demonstrated resourcefulness and problem-solving capabilities.
- Strong communication skills to convey priorities and deadlines to internal and external stakeholders, fostering constructive relationships across teams.
- A proven history of sound judgment and composure in high-pressure scenarios.
Additional Preferred Qualifications:
- Experience in a technology startup, high-growth company, private equity, or venture capital fund.
- Possession of FINRA Series 14, 6, 63, and/or 24 licenses.
- Experience interacting with relevant regulatory bodies (FINRA, SEC, OSC).
- Familiarity with cross-border securities transactions.
- In-house legal experience within a publicly traded organization.
Benefits
- Opportunity to engage in ownership of a rapidly expanding early-stage startup through our employee stock option plan.
- Comprehensive health and dental coverage fully funded by the employer, along with a health spending account.
- Preference for candidates willing to work in our headquarters or travel periodically.
- An active social calendar featuring bi-weekly catered lunches, team workouts, annual celebrations, and team-building events.
- Significant opportunities for advancement into leadership and management roles.
- An entrepreneurial culture within a small, dynamic team.
- Support for sponsorship, immigration, and relocation for exceptional candidates.
