Regulatory Compliance Counsel

Human Interest is on a mission to ensure that people in all lines of work have access to retirement benefits. 

Nearly half of all working Americans are not saving enough for their future. Too often it’s because they are employed by a company that doesn’t offer a retirement plan. Human Interest is changing that by making it affordable and accessible for small and medium-sized businesses to offer employees a path to financial independence through retirement savings.

We’re a high-growth tech company changing the retirement industry. We’ve raised more than $700M in primary and secondary financings and are backed by a number of investors. Most recently, this includes funding from Marshall Wace and Baillie Gifford, as well as top investors such as BlackRock, TPG (The Rise Fund), SoftBank, Glynn Capital, NewView Capital, USVP, Wing, Uncork, and more.

About the role

Human Interest is seeking a strategic, solutions-oriented Regulatory Compliance Counsel with a minimum of eight years of legal experience specializing in regulatory and compliance matters for registered investment advisers (RIAs). This individual will be a key member of our legal team, offering expert guidance and driving legal and compliance excellence for our subsidiary, Human Interest Advisors LLC (HIA), an SEC-registered investment adviser. The ideal candidate will bring a sophisticated understanding of the legal and regulatory landscape affecting RIAs, coupled with hands-on experience working in FinTech, financial institutions, or top-tier law firms.

This is a unique opportunity to leverage your expertise in a fast-paced, technology-driven environment where your impact will shape both strategic initiatives and day-to-day operations. You will collaborate closely with senior leaders across the company, helping ensure that Human Interest operates at the highest standards of integrity, innovation, and compliance.

About the team
At Human Interest, you’ll join a mission-driven team focused on enabling financial wellness for small and medium-sized businesses. As part of our Legal team, you will play a vital role in driving compliance excellence while partnering across departments to develop innovative, compliant solutions that power our growth.

What you get to do every day

Client Interaction & Counseling

• Act as a trusted advisor to internal and external clients, offering sound legal guidance and helping navigate regulatory challenges.
• Build strong relationships with key stakeholders across the organization, including senior leadership, compliance, product, and marketing teams.

Strategic Collaboration & Problem-Solving

• Collaborate with cross-functional teams to deliver integrated legal solutions that support product development, marketing initiatives, and operational excellence.
• Stay ahead of regulatory changes, proactively identifying risks and opportunities for Human Interest to remain a market leader in compliance.

Legal Support & Regulatory Compliance

• Serve as a primary legal advisor to HIA, providing actionable guidance on complex regulatory frameworks under the SEC, FINRA, and state securities laws.
• Draft, review, and maintain critical regulatory documents, including Form ADV filings,and other essential compliance policies.
• Counsel on key statutes and regulations, including the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and SRO rules, ensuring HIA’s operations remain compliant while enabling innovation.
• Partner with product, compliance, and technology teams to advise on the development, operation, and management of innovative investment services and solutions.

Marketing Rule Compliance & Marketing Materials Review

• Provide legal oversight and strategic guidance to ensure compliance with the SEC’s Advisers Act Marketing Rule, including review of client-facing materials, advertising, and digital content.
• Work collaboratively with marketing and product teams to develop strategies that meet business goals while maintaining full regulatory compliance.

Contract Review & Drafting

• Draft, negotiate, and review a variety of contracts, including advisory agreements, participant terms of service, vendor agreements, and third-party service contracts.
• Counsel internal stakeholders on legal terms and risks in commercial arrangements, aligning agreements with regulatory requirements and business objectives.

Corporate Governance & Compliance Programs

• Advise HIA’s Chief Compliance Officer and senior leadership on fiduciary duties, corporate governance matters, and securities law compliance.
• Lead the development and implementation of compliance programs, manuals, and procedures to meet evolving regulatory expectations.
• Support regulatory examinations and inquiries, preparing and advising stakeholders at all levels.

Training & Awareness

• Develop and deliver tailored training programs to employees across departments to raise awareness of SEC regulations, RIA compliance, and critical legal considerations.
• Build scalable training modules and resources to ensure continuous learning and compliance readiness across all teams.
  

What you bring to the role

• J.D. from a top-tier accredited law school and admission to a state bar.
• 8+ years of legal experience advising on regulatory matters affecting RIAs and BDs, with a strong focus on SEC, FINRA, and state regulatory compliance.
• Proven expertise in the Investment Advisers Act of 1940, Securities Exchange Act of 1934, and related regulations.
• Demonstrated success working at a leading FinTech company, financial institution, or top-tier financial services practice group.
• Strong track record of partnering with high-performing teams in technology, compliance, or financial services environments.
• Exceptional written and verbal communication skills, with the ability to explain legal and regulatory concepts to diverse stakeholders, including senior executives.
• Highly organized and detail-oriented, with the ability to manage multiple complex projects simultaneously.
• A proactive, solutions-oriented mindset with the ability to navigate ambiguity in a fast-paced environment.
• Collaborative team player who builds relationships and influences outcomes across all levels of an organization.

Why you will love working at Human Interest

Mission - Highly collaborative startup dedicated to supporting employee engagement and growth. It’s an opportunity to help solve one of the biggest unsolved problems in America: saving for retirement.

Culture - Our operating principles define how we come together as a team to do our work. They reflect Human Interest’s unique view on what’s important and what’s right. Documenting this core aspect of our culture helps employees make good decisions on their own. It also helps candidates considering career opportunities critically evaluate whether they will thrive at Human Interest. 

• Customer obsession
• Long-term orientation
• Autonomous and accountable teams
• An escalating bar for talent and performance 
• Fundamental optimism 

Compensation - At Human Interest, there are a number of factors that are used to determine the appropriate pay range for each position. We take into account the cost of labor for each position in various markets across the US. The base salary for this position spans $170,000 - $190,000 and represents the minimum in our lowest geographic region to a maximum in our highest geographic region. The salary that we offer to a new employee within this range is based on their location within the US, their relevant job-related skills, and experience. At Human Interest, base salary is one component of the overall Total Rewards package. Depending on the position, additional compensation components such as bonus, commission, and equity may be offered. All of our employees are offered a robust suite of physical, financial and mental wellness benefits.

Benefits - 

• A great 401(k) plan: Our own! Our 401(k) includes a dollar-for-dollar employer match up to 4% of compensation (immediately vested) and $0 plan fees
• Top-of-the-line health plans, as well as dental and vision insurance
• Generous PTO and parental leave policies
• Addition Wealth - Unlimited access to digital tools, financial professionals, and a knowledge center to help you understand your equity and support your financial wellness
• Lyra - Enhanced Mental Health Support for Employees and dependents  
• Carrot - Fertility healthcare and family forming benefits
• Candidly - Student loan resource to help you and your family plan, borrow, and repay student debt
• Monthly work-from-home stipend; quarterly lifestyle stipend
• Employee Resource Groups including Veterans, Lift Ev’ry Voice, Pride, LatinX, Families, and Women in Tech
• Fun online and regional events and celebrations and department and company offsites
• The vast majority of our positions can be 100% remote
  

We’re a great place to work (but don’t take our word for it) 

Here’s a list of our awards and accolades:

• Certified as a Great Place To Work® (2023-2024)
• Fortune Best Place to Work in the Bay Area (2024)
• Best Places to Work by Built In (2023-2024)
• America’s Best Startup Employers by Forbes (2020-2022, 2024) 
• A Top Company by Y Combinator (2020-2023)
• Inc. Fastest Growing Companies (2021)

Human Interest is an equal opportunity employer. All applicants will receive consideration for employment without regard to race, color, religion, sex, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, veteran or military status, pregnancy, or any other characteristics protected under federal, state, or local laws.

We are committed to making every stage of our application process fully accessible to all individuals. If you need a reasonable accommodation at any point in the process, please let us know at [email protected].

Please note Human Interest does not accept unsolicited resumes from any source other than directly from candidates. We will not consider resumes from vendors including and without limitation search firms, staffing agencies, fee-based referral services, and recruiting agencies. 

Pursuant to the San Francisco Fair Chance Ordinance, we will consider employment-qualified applicants with arrest and conviction records. We comply with CCPA guidelines.

See more: https://humaninterest.com/disclosures