• Regulatory Counsel, Investment Adviser (USA)

    Trexquant Investment (Stamford, CT)


    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