Posted 5 hours ago
Assistant General Counsel/Compliance Officer
BestEx ResearchAssistant General Counsel/Compliance Officer
Perks & benefits
Annual LeaveHealth Insurance
Requirements
JD degree, 5+ years financial services experience, Knowledge of SEC, FINRA, CFTC, NFA rules, Admitted to practice in CT or eligible, Experience in algorithmic trading
Skills
ComplianceFinance
About the role
About the Company
BestEx Research is an award-winning financial technology and research firm specializing in building sophisticated execution algorithms and transaction cost modeling tools servicing multiple asset classes. The firm provides its services to performance-demanding hedge funds, CTAs, asset managers, and banks through a traditional electronic broker and in a broker-neutral Software as a Service (SaaS) model.
Responsibilities
- Assist the General Counsel/Chief Compliance Officer regarding legal/compliance matters
- Work closely with management, HR, operations, and sales teams to ensure legal/compliance obligations are met
- Review, negotiate, and advise on various contracts including client, employment, vendor, and IT agreements
- Update and standardize contracts and client onboarding documentation
- Ensure compliance with all applicable laws, regulations, and rules
- Identify and mitigate business risks
- Review and approve all marketing materials and publications
- Stay updated on regulatory developments and industry changes
Requirements
- Doctor of Jurisprudence (JD) degree from a reputable law school
- Undergraduate degree (B.A. or B.S.)
- Admitted to practice law in Connecticut or ability to obtain licensure quickly
- Minimum of five years of relevant experience in financial services (law firm, in-house, or regulator)
- Experience advising broker-dealer or buy-side entities
- Experience in the electronic/algorithmic trading sector
- Strong familiarity with SEC, FINRA, CFTC, and NFA rules
- Deep understanding of US equities market structure, global equities, and futures
Preferred Qualifications
- International experience (UK FCA, Singapore MAS, EMEA & APAC markets)
- In-house legal experience
Benefits
- Competitive base salary
- Annual discretionary bonus
- Eligibility for BestEx Research 2019 Equity Plan
- Competitive company health benefits
- 20 days annual vacation
- 24 annual work-from-home days
- Free parking and access to adjacent exercise facility
ScoutJobs Agent
Get matches like this delivered daily
Sign up free — we'll pull jobs that fit your CV from across the web and rank them for you.
Get started — it's freeAssistant General Counsel/Compliance Officer
BestEx Research · Stamford
