Stamford, CT, 06912, USA
44 days ago
Regulatory Counsel, Investment Adviser (USA)
This role is critical in managing investor contractual relationships, guiding the company’s understanding of regulatory frameworks and fostering a culture of integrity and ethical practices. You’ll collaborate with other attorneys in a small team, senior leadership and cross-functional teams to proactively manage legal risk and guide the company’s investment-related legal efforts. Responsibilities: + Manage maintain and advise on fund offering documents, navigate and manage ongoing side letters and agreements for separately managed accounts + Advise on financial market and global trading regulatory obligations, including filings, cybersecurity requirements, and all manner of nuanced topics in the financial market space + Support the company's compliance with SEC regulatory requirements and industry best practices by working closely with the company’s Chief Compliance Officer and staff + Provide guidance to Compliance, Technology, Finance, Investor Relations, and Management teams on financial and business legal risks + Monitor and interpret changes in securities laws, SEC regulations, and corporate governance trends. + Manage legal efforts to establish counterparty agreements including global clearing and ISDA agreements. + Assist with Fund board of director meetings and board governance matters. + Support other attorneys on a variety of business and technology legal responsibilities. + Support internal investigations and respond to regulatory inquiries as needed. + Help develop and maintain internal policies and procedures related to securities law compliance. Requirements + J.D. from an accredited law school and admission to a U.S. state bar. + At least 5 years of relevant legal experience, preferably with a combination of law firm and in-house public company experience. + Substantive experience advising on the Investment Advisers Act, Securities Act, and related SEC regulatory regimes. + Deep understanding of US and global security regulations, including SEC, CFTC, NFA and FCA frameworks + Strong grasp of corporate governance, board operations and fiduciary obligations + Prior experience drafting and negotiating fund offering documents, side letters, ISDAs, NDAs, and other complex financial agreements. + Ability to come 4 days per week in office with greater flexibility over time Benefits + Competitive salary, plus bonus based on individual and company performance. + Collaborative, casual, and friendly work environment while solving the hardest problems in the financial markets. + PPO Health, dental and vision insurance premiums fully covered for you and your dependents. + Pre-Tax Commuter Benefits – making your commute smoother. Trexquant is an Equal Opportunity Employer
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