FOLIOfn, Inc. (“Folio”) provides investment technology and other services to the financial services industry and through its wholly-owned subsidiary, Folio Investments, Inc. Folio has more than 19 patents covering an array of financial services and products and has been, and continues to be, a pioneer in a number of areas in the investing and wealth management fields.
Folio Investments, Inc. is a self-clearing broker-dealer that services on-line, self-directed customers, provides a custody platform for servicing clients of registered investment advisors, is a clearing broker for independent introducing broker-dealers, and operates an alternative trading system for registered notes issued by a peer-to-peer lending platform. The firm also facilitates offerings of unlisted securities via its custody platform under the VIA Folio® brand.
Folio also has a wholly-owned SEC-registered investment advisor subsidiary through which it offers advisory services focused on socially responsible impact (“SRI”) investing and a related entity that hosts one of the largest SRI investing conferences in the U.S. – The SRI Conference.
The General Counsel will report to the Founder and Chief Executive Officer of Folio and will have overall responsibility for managing the operations of the Legal Department, including developing and enhancing policies and procedures, working with outside counsel to manage Folio’s trademark portfolio, developing and enhancing standard form agreements and disclosures, addressing legal matters that arise with respect to the day to day business operations of Folio and its operating subsidiaries, new business initiatives, regulatory examinations and inquiries, litigation, and commercial transactions. The General Counsel also will be expected to perform the role of Corporate Secretary, provide support to the Compliance Departments and advance the positions of the firm from a public policy perspective by actively engaging the firm’s various regulators, including the SEC and FINRA, and working with industry associations.