Regulatory Counsel, Investment Adviser (USA)

Trexquant Investment • Stamford, CT • 7h ago

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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