Jack Jiaqi Chen

About Jack Jiaqi Chen

Legal experience within the financial services, securities, technology, start-up, and law firm space. Hands-on business partner and strategic thought leader who enjoys operating in a fast-paced, dynamic environment. Experience providing practical, actionable insight on legal and compliance issues, both from a strategic and tactical perspective. Sleeves-rolled approach towards day-to-day matters. Collaborative nature, with the capability to build and sustain relationships and to work across business lines and disciplines effectively as a team player. Strong written and verbal communication skills required to draft agreements, communicate legal advice, and present corporate legal positions to company leadership and external parties. Experience multi-tasking, delegating, managing, and delivering high volume of simultaneous projects under deadline pressure. High energy level and high degree of self-motivation, with a sense of urgency to achieve stated business goals. Ability to quickly identify the major legal issues presented in a given set of circumstances, and provide pragmatic and understandable advice to the appropriate stakeholders. Positive attitude, forward-thinking mindset, and ownership mentality.

Experience

1. Deputy General Counsel

   Public

   Mar 2026 — Present · New York, NY, US

   Public Holdings, offers an online investment platform for retail clients to build and manage a multi-asset portfolio of equities, fixed income, and crypto. Investment advisory services offered by Public Advisors LLC and brokerage services offered by Open to the Public Investing, Inc.• Provide strategic and day-to-day legal counsel for Public’s registered investment adviser and broker-dealer subsidiaries• Advise senior management and cross-functional teams on broad range of regulatory issues impacting Public’s investment management, brokerage, and AI products and services• Partner closely with Compliance, Product, Operations, Finance, Marketing, and executive leadership to identify legal risks and drive mitigation strategies• Navigate various regulatory frameworks to support the business in designing, developing, and launching new products, services, and offerings• Draft, review, and negotiate a variety of complex commercial, transactional, and partnership agreements for new and existing advisory, brokerage, data, marketing, technology, and operational services• Develop, enhance, and implement core compliance policies, written supervisory procedures, monitoring and surveillance programs, marketing guidelines and disclosures, and annual employee trainings to ensure compliance with the Investment Advisers Act of 1940, FINRA rules, and related federal securities laws• Prepare key regulatory and disclosure documents, including client advisory agreements, brokerage account agreements, customer terms & conditions, risk disclosures, and regulatory filings such as Form ADV brochures and Form CRS• Oversee and respond to regulatory examinations and engagement by the SEC and FINRA• Build scalable legal processes and frameworks to support rapidly-evolving financial technology company• Identify, engage, and supervise outside counsel to address ad hoc issues in a cost-effective manner

Education

• Cornell University

  Bachelor’s Degree, Biological Engineering

  2002 — 2006

• Thomas Jefferson High School for Science and Technology

  High School

• Cornell Law School

  Juris Doctor (J.D.), Law

  2006 — 2009

Skills

• Compliance Training
• Privacy Policies
• Telephone Consumer Protection Act
• Tcpa
• Litigation
• Master Services Agreements
• Government Affairs
• Cfpb
• Commercial Agreements
• Risk Assessments
• Nda
• Federal Trade Commission
• Statements of Work (Sow)
• Gramm-Leach-Bliley Act
• Software Agreements
• In-House Counsel
• Subscription Contracts
• Can-Spam
• Fdcpa
• Servicemembers Civil Relief Act
• Regulatory Compliance
• Policies & Procedures
• Data Use
• Confidentiality Agreements
• Due Diligence
• Series B
• Casl
• Ecoa
• Consumer Protection Regulations
• Contract Management
• Software as a Service (Saas)
• Subscription Agreements
• Consumer Financial Protection Bureau
• Legal Inventory
• Regulatory Affairs
• Glba
• General Data Protection Regulation (Gdpr)
• Fair Lending
• Regulation B
• Product Counseling