Role Overview for Chief Legal Officer with a Public FinTech – St. Louis, MO
JRG Partners is proud to partner with a pioneering, publicly traded Financial Technology (FinTech) company in St. Louis, MO, in their search for a distinguished Chief Legal Officer (CLO). This is a paramount executive leadership position reporting directly to the Chief Executive Officer and serving as a key advisor to the Board of Directors. The CLO will be the principal legal counsel for the organization, responsible for shaping and executing the company’s legal strategy, managing all legal affairs, and embedding a culture of robust corporate governance and compliance. As a member of the executive team, you will be instrumental in navigating the complex and dynamic regulatory landscape that governs the FinTech industry. This role demands more than just legal expertise; it requires a strategic business partner who can provide insightful, pragmatic counsel to drive growth while meticulously mitigating risk. The ideal candidate will possess a profound understanding of securities law, corporate finance, and the specific legal challenges facing a public technology company in the financial services sector. You will be at the forefront of innovation, ensuring our client’s groundbreaking products and services are brought to market responsibly and in full compliance with all applicable laws and regulations. This is a unique opportunity to make a significant impact on the trajectory of a market-leading company and to build a world-class legal and compliance function.
Key Responsibilities of Chief Legal Officer with a Public FinTech – St. Louis, MO
The Chief Legal Officer will have a broad and challenging mandate, overseeing all legal and compliance functions of the company. Key responsibilities are comprehensive and will include, but are not limited to, the following areas:
Corporate Governance and Securities Law
- Serve as the Corporate Secretary, managing all matters related to the Board of Directors and its committees, including the preparation of agendas, minutes, and resolutions.
- Provide expert counsel to the Board on their fiduciary duties and other corporate governance matters, ensuring adherence to best practices.
- Oversee the preparation and filing of all periodic and current reports with the U.S. Securities and Exchange Commission (SEC) regulations, including Forms 10-K, 10-Q, and 8-K, as well as proxy statements and Section 16 filings.
- Ensure compliance with the listing standards of the relevant stock exchange (e.g., NYSE, NASDAQ) and manage all related communications and filings.
- Develop, implement, and manage the company’s insider trading policy, trading windows, and 10b5-1 plans.
- Advise on all matters related to capital markets transactions, including equity and debt offerings, and ensure compliance with applicable securities laws.
Regulatory Compliance and Risk Management
- Develop and maintain a robust, enterprise-wide compliance program to ensure the company’s adherence to all applicable federal, state, and international laws and regulations, including those related to financial services, consumer protection (e.g., CFPB), data privacy (e.g., GDPR, CCPA), and anti-money laundering (AML).
- Act as the primary liaison with regulatory agencies, managing inquiries, examinations, and investigations effectively.
- Proactively identify, assess, and mitigate legal and regulatory risks across all business functions.
- Oversee the company’s enterprise risk management (ERM) framework in collaboration with other senior leaders.
- Manage and oversee all litigation, claims, and disputes, including the selection and management of outside counsel to achieve strategic and cost-effective outcomes.
Commercial and Transactional Leadership
- Draft, review, and negotiate a wide array of complex commercial agreements, including strategic partnerships, customer and vendor contracts, SaaS agreements, and technology licensing agreements.
- Provide legal support for all strategic transactions, including mergers and acquisitions (M&A), joint ventures, and other corporate development activities from due diligence through integration.
- Advise on legal aspects of new product development and market expansion, ensuring new offerings are structured in a compliant and commercially sound manner.
Intellectual Property and Team Leadership
- Develop and execute a comprehensive global intellectual property strategy to protect the company’s valuable technology, brand, and innovations.
- Manage the company’s patent and trademark portfolios, including prosecution, maintenance, and enforcement actions.
- Build, lead, and mentor a high-performing legal and compliance team, fostering a collaborative and business-oriented culture.
- Develop and manage the legal department’s budget and oversee relationships with outside law firms and legal service providers.
Requirements for the Chief Legal Officer with a Public FinTech – St. Louis, MO
We are seeking a seasoned and highly credible legal executive with a proven track record of success in a similar environment. The qualifications and experience required for this role are stringent:
Education
Juris Doctor (J.D.) from a top-tier, ABA-accredited law school. Must be an active member in good standing of at least one U.S. state bar, with the ability to become licensed or registered as in-house counsel in Missouri.
Experience
A minimum of 15+ years of progressive legal experience, with a combination of practice at a leading law firm and significant in-house leadership experience.
Public Company Expertise
Demonstrable experience serving as a senior legal leader (e.g., General Counsel, Deputy GC, or CLO) within a publicly traded company is mandatory. Deep, hands-on experience with the Securities Exchange Act of 1934 and the Securities Act of 1933 is essential.
Industry Knowledge
Substantial experience in the FinTech, banking, payments, or broader financial services industry is strongly preferred. A thorough understanding of the regulatory environment governing these sectors is critical.
Business Acumen
Must be a strategic thinker with exceptional business judgment and the ability to translate complex legal issues into clear, actionable advice for business leaders.
Leadership Skills
Proven ability to lead, manage, and develop a team of legal professionals. A track record of being a trusted advisor to the CEO and Board of Directors.
Communication Skills
Outstanding written and verbal communication skills, with the ability to influence and build consensus among diverse stakeholders at all levels of the organization.
Integrity
Unquestionable ethics, integrity, and a commitment to upholding the highest standards of professional conduct.
Benefits & Perks Offered
Our client is committed to attracting and retaining top-tier executive talent and offers a highly competitive compensation and benefits package, including:
Executive Compensation
A competitive base salary complemented by a significant annual performance-based bonus.
Equity Incentives
A substantial long-term incentive package, including stock options and/or restricted stock units (RSUs), to ensure alignment with shareholder interests.
Comprehensive Health & Wellness
Premium medical, dental, and vision insurance plans for you and your dependents, along with wellness programs and a generous health savings account (HSA) contribution.
Retirement Savings
A 401(k) plan with a strong company matching contribution.
Paid Time Off
A generous and flexible paid time off (PTO) policy, including vacation, sick days, and company holidays.
Professional Development
A dedicated budget for continuing legal education (CLE), professional memberships, and industry conferences to support your growth.
Relocation Assistance
A comprehensive relocation package is available for the successful candidate if required.
Executive Perks
Additional benefits may include executive coaching, financial planning services, and other perquisites commensurate with a senior executive role.
How to Apply
JRG Partners has been exclusively retained for this critical search. To express your interest in this exceptional opportunity, please submit your resume and a cover letter detailing your qualifications and experience. All applications will be treated with the strictest confidence. We encourage qualified candidates to apply promptly. You can learn more about our specialized recruitment services by visiting JRG Partners’ Legal & Compliance Practice area page. We look forward to reviewing your application and discussing how your expertise can drive the future success of our client.
