Regulatory Counsel, Investment Adviser (USA)

Trexquant-posted about 2 months ago
Full-time • Mid Level
Stamford, CT
51-100 employees
Securities, Commodity Contracts, and Other Financial Investments and Related Activities
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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.

  • 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.
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