What you will do As Assistant General Counsel and Compliance Officer, you will:
- Assist the General Counsel/Chief Compliance Officer regarding legal/compliance matters at a growing firm.
- Work closely with management, HR, operations, and sales teams to assure that BestEx Research satisfies all its legal/compliance obligations.
- Review, negotiate and advise on a variety of contracts (e.g. client, employment, vendor, IT agreements).
- Update and standardize our contracts and client on-boarding documentation.
- Assure that BestEx Research is in compliance with all laws, regulations and rules applicable to it.
- Identify any risks BestEx Research encounters and either remove or mitigate those risks.
- Review and approve all BestEx Research marketing materials and publications.
- Stay abreast of current events, regulatory developments, and other changes that may impact BestEx Research.
- Work in the BestEx Research office in Stamford, Ct. on a full-time basis.
RequirementsWho we are looking forA person who is a good fit for this role is organized, comfortable working with data and systems, and able to collaborate with management and business leaders and professionals. The candidate should have strong written and verbal communication skills and be able to work effectively with internal stakeholders, clients and client prospects, and other external parties as required. Attention to detail and the ability to manage multiple priorities are essential.
This person must be willing to take initiative to investigate issues, maintain operational discipline, and improve existing processes. The learning curve will be meaningful, and the individual in this role will have a direct impact on how business operations are executed and measured as the firm continues to grow.
Education- Doctor of Jurisprudence degree from reputable law school
- Undergraduate degree - B.A. or B.S.
- Admitted to practice law in Connecticut or ability to become so licensed quickly
Experience & Background- Minimum of five years of relevant experience in financial services, either at a law firm, in-house (some in-house experience preferred), or with a 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
- International experience a plus (UK FCA and Singapore MAS, EMEA & APAC markets)
- Deep understanding of US equities market structure, global equities, and futures
Legal Matters - Corporate - agreements, investor relationships, equity plan, finance
- Contracts - client, employment, vendor, IT, license agreements
- Employment - contracts, orientation, training, departures
- Firm Policies - WSPs, cybersecurity, technology governance, Code of Conduct
- Client due diligence - agreements, on-boarding
- Intellectual property
- Insurance
- Material non-public information
- Confidential information and privacy
Compliance Matters- Compliance/Supervisory Policies
- Marketing communications and reviews
- Training
- Regulatory examinations and inquiries
- Regulatory filings
- Relationships with regulators
- AML
- Registration oversight
- Trade surveillance and market conduct oversight
General Skills- Strong communication skills
- Hard worker
- Team player
- Innovative thinker who challenges assumptions and past practices
- Analytical mindset
- Systematic approach to tasks
- Keen attention to detail and comfort working with data, systems, and dashboards
- Strong organization skills; ability to manage multiple projects concurrently and set priorities
Deep understanding of regulatory framework and its application to BestEx Research - Ability to write clearly, concise communications and development of persuasive arguments
- Ability to learn quickly about the BestEx Research business model and underlying technology
- Positive, collaborative attitude, a strong sense of ownership and curiosity, and consistent drive to go above and beyond to deliver on shared goals
Benefits- Competitive base salary (dependent on experience
- Annual discretionary bonus
- Eligibility for BestEx Research 2019 Equity Plan
- Competitive company health benefits
- Annual vacation (20 days)
- Annual work-from-home days (24 days)
- Free parking at Stamford, Ct. office
- Free adjacent exercise facility
