Assistant General Counsel/Compliance Officer

United States·Stamfordmid

Legal & ComplianceAssistant General Counsel

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Quick Summary

Key Responsibilities

Assist the General Counsel/Chief Compliance Officer regarding legal/compliance matters at a growing firm. Work closely with management, HR, operations,

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Legal & ComplianceAssistant General Counsel

Responsibilities

~1 min read

→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

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

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/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

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