Assistant General Counsel/Compliance Officer
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Overview
Job Description
About BestEx Research
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.
BestEx Research's mission is to become the leader in automation and measurement of execution across asset classes globally and significantly reduce transaction costs for our clients.Its cloud-based platform, Algo Management System (AMS), is the first end-to-end algorithmic trading solution for equities and futures that delivers an entire ecosystem around execution algorithms, including transaction cost analysis (TCA), an algo customization tool called Strategy Studio, a trading dashboard, and pre-trade analytics in a single platform. The platform is currently live for US equity and global futures trading.
BestEx Research is challenging the status quo of stale, black-box solutions from execution providers in a $100 billion industry and offering next-generation execution algorithms that combine performance improvement with transparency and customization. BestEx Research uses leading-edge technology to support its low-latency, highly scalable research, and trading systems with its back end in C++, research libraries in C++/Python and R, and web-based technologies for delivering its front-end platforms.
Visit bestexresearch.com for more information about our mission, products, research, and services.
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.
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