The Role
Who Are We:
We are COMPLY.
For compliance people.
COMPLY is the leading global provider of comprehensive regulatory compliance software and solutions for the financial services sector. Our OneCOMPLY™ platform provides an all-in-one approach to address firm and employee compliance requirements through a configurable and scalable software-as-a-service (SaaS) platform coupled with expert consulting services.
COMPLY serves thousands of financial services clients including Broker Dealers, Investment Banks, Private Funds, RIAs, and Wealth Managers who rely on COMPLY to power their compliance programs.
To learn more about COMPLY, visit COMPLY.com
We are seeking a resourceful and business-minded Assistant General Counsel with at least 2 years of in-house legal experience in a software or tech environment. Reporting directly to the Chief Legal Officer, you will provide critical legal support across commercial transactions, compliance, corporate governance, and risk management. This is a hands-on role with direct exposure to executive leadership and opportunities to help shape legal strategy as we scale.
Key Responsibilities:
- Draft, review, and negotiate a wide range of commercial agreements, including SaaS and software licensing contracts, vendor agreements, NDAs, and channel partner deals.
- Advise internal stakeholders (Sales, Product, Marketing, HR, and Finance) on legal issues with a practical, risk-balanced mindset.
- Support the CLO with legal matters related to M&A, corporate governance, and international expansion.
- Monitor evolving regulations and ensure compliance with data privacy (e.g., GDPR, CCPA), cybersecurity, and IP laws.
- Contribute to legal operations by developing scalable processes, templates, contract management systems, and training programs.
- Collaborate with outside counsel on specialized matters such as employment, litigation, or regulatory inquiries.
- Play an active role in supporting integration and operational change during periods of high growth or post-acquisition activity.
Qualifications:
- J.D. from an accredited law school and active bar membership in at least one U.S. jurisdiction.
- 2+ years in-house negotiating software contracts
- Strong experience with commercial contracts and comfort working directly with business teams.
- Excellent communication, organizational, and judgment skills; comfortable balancing legal and business risk.
COMPLY is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, disability, sex, sexual orientation, gender identity, or national origin. Nothing in this job posting should be construed as an offer or guarantee of employment.
The company offers a wide range of perks including:
- Comprehensive medical, dental and vision insurance at little to no cost starting on day one
- 401k with a company match
- Supplemental benefits at a discounted rate including home, auto and pet insurance
- Unlimited PTO
- Professional Development reimbursements
- Remote opportunities available for most positions
- Time to get together in person for company happy hours, team offsites and more
Applicants must be authorized to work for any employer in the United States. Currently, we are unable to sponsor or take over sponsorship of an employment Visa at this time.
COMPLY is aware of scammers posing as COMPLY employees and extending job offers via direct messaging, texts and social media platforms. These are fraudulent and should be treated as such. To learn more about this, please review our Statement of Fraudulent Job Offers.
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The Company
What We Do
At COMPLY, we pride ourselves on being the champion for compliance professionals. Merging technology, consulting and education, we help clients navigate the ever-changing regulatory environment. Our portfolio of firms includes ComplySci, RIA in a Box, National Regulatory Services (NRS) and illumis, whose more than 7,000 clients include some of the world’s largest financial institutions. Clients throughout our portfolio of firms enjoy access to our full suite of industry-leading governance, risk and compliance (GRC) consulting, technology, managed services, analytics and outsourcing solutions. Learn more at comply.com.
