Regulatory Counsel, Investment Adviser
2 weeks 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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Regulatory Counsel, Investment Adviser
2 weeks ago
Stamford, United States Trexquant Investment Full timeOverview 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...
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Regulatory Counsel, Investment Adviser
2 weeks ago
Stamford, United States Trexquant Investment LP Full timeThis 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...
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Regulatory Counsel, Investment Adviser
2 weeks ago
Stamford, United States Trexquant Investment LP Full timeThis 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...
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Stamford, United States Trexquant Investment Full timeA financial services company in Stamford, CT is seeking a legal professional to guide investor contractual relationships and ensure compliance with regulatory frameworks. This role includes responsibilities like managing fund offering documents and providing legal advice on financial market regulations. The ideal candidate has a J.D., at least 5 years of...
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Private Investment Fund
3 days ago
Stamford, United States Finn Dixon & Herling LLP Full timeWe are seeking a senior associate or counsel with 7+ years of experience in private investment fund formation and investment management. This role involves leading complex fund matters and serving as a key advisor to fund sponsors. Key Responsibilities Lead private investment fund formations, restructurings, and amendments Serve as primary advisor to fund...
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General Counsel, Investments
2 days ago
Stamford, United States Genworth Full timeAt Genworth, we empower families to navigate the aging journey with confidence. We are compassionate, experienced allies for those navigating care with guidance, products, and services that meet families where they are. Further, we are the spouses, children, siblings, friends, and neighbors of those that need care—and we bring those experiences with us to...
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General Counsel, Investments
1 day ago
Stamford, United States Genworth Financial Full timeAt Genworth, we empower families to navigate the aging journey with confidence. We are compassionate, experienced allies for those navigating care with guidance, products, and services that meet families where they are. Further, we are the spouses, children, siblings, friends, and neighbors of those that need care—and we bring those experiences with us to...
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Counsel, Regulatory
3 weeks ago
Stamford, CT, United States Women of the Vine & Spirits Full timeJob Title Counsel, Regulatory & Compliance Company Women of the Vine & Spirits Location Stamford, CT Senior Level Legal Job Summary Deutsch Family Wine & Spirits is seeking an experienced alcoholic beverage regulatory attorney to join its fastpaced, collaborative legal team as Counsel, Regulatory & Compliance. The position is based in Stamford, Connecticut;...
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Compliance Analyst
2 weeks ago
Stamford, United States ARGA Investment Management Full timeROLE ARGA Investment Management, LP seeks a motivated compliance professional to join the compliance department in our Stamford, CT office. This individual will report directly to the Chief Compliance Officer. JOB DESCRIPTION Responsibilities include, but are not limited to: Develop, draft and maintain compliance policies and procedures Create and deliver...
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Compliance Analyst
2 weeks ago
Stamford, United States ARGA Investment Management Full timeROLE ARGA Investment Management, LP seeks a motivated compliance professional to join the compliance department in our Stamford, CT office. This individual will report directly to the Chief Compliance Officer. JOB DESCRIPTION Responsibilities include, but are not limited to: Develop, draft and maintain compliance policies and procedures Create and deliver...
