BestEx Research

Offers multi-asset algorithmic trading execution

Assistant General Counsel/Compliance Officer

Legal Counsel & Legal SupportConfirmed live in the last 24 hours

Full-timeStamford, CT, USA

About the Job

Requirements

Hold a Doctor of Jurisprudence degree from a reputable law school.
Hold an undergraduate B.A. or B.S. degree.
Be admitted to practice law in Connecticut or be able to become licensed there quickly.
Have a minimum of five years of relevant financial-services experience at a law firm, in-house, or with a regulator.
Have experience advising broker-dealer or buy-side entities.
Have experience in the electronic or algorithmic trading sector.
Have strong familiarity with Securities and Exchange Commission, Financial Industry Regulatory Authority, Commodity Futures Trading Commission, and National Futures Association rules.
Have a deep understanding of U.S. equities market structure, global equities, and futures.
Have strong written and verbal communication skills and be able to work effectively with internal stakeholders, clients, prospective clients, and external parties.
Be organized, manage multiple priorities, take initiative to investigate issues, maintain operational discipline, and improve existing processes.
Have an analytical and systematic approach to tasks, attention to detail, and comfort working with data, systems, and dashboards.
Be able to write clear, concise communications and develop persuasive arguments.
Be able to learn the firm's business model and underlying technology.

Responsibilities

Assist the General Counsel and Chief Compliance Officer with legal and compliance matters.
Work with management, human resources, operations, and sales teams to ensure the firm satisfies its legal and compliance obligations.
Review, negotiate, and advise on client, employment, vendor, and information technology agreements.
Update and standardize contracts and client onboarding documentation.
Ensure the firm complies with applicable laws, regulations, and rules.
Identify risks and remove or mitigate them.
Review and approve marketing materials and publications.
Monitor current events, regulatory developments, and other changes that may affect the firm.
Handle corporate matters including agreements, investor relationships, equity plans, and finance.
Handle employment matters including contracts, orientation, training, and departures.
Maintain firm policies covering written supervisory procedures, cybersecurity, technology governance, and the Code of Conduct.
Handle client due diligence and onboarding agreements, intellectual property, insurance, material non-public information, confidential information, and privacy matters.
Manage compliance and supervisory policies, marketing communications and reviews, training, regulatory examinations and inquiries, regulatory filings, regulator relationships, anti-money laundering, registration oversight, trade surveillance, and market conduct oversight.
Work full-time in the firm's Stamford office.

Desired Qualifications

Some in-house legal experience is preferred.
International experience, including exposure to the United Kingdom Financial Conduct Authority, Singapore Monetary Authority, EMEA, or APAC markets, is a plus.

Assistant General Counsel/Compliance Officer

BestEx Research · Stamford, United States · — · Posted 2026-04-06

Workplace: on_site

Description

About BestEx Research
BestEx Research is an award-winning financial technology and research firm specializing in building sophisticated execution algorithms and transaction cost modeling tools servicing multiple asset classes. The firm provides its services to performance-demanding hedge funds, CTAs, asset managers, and banks through a traditional electronic broker and in a broker-neutral Software as a Service (SaaS) model.

BestEx Research’s mission is to become the leader in automation and measurement of execution across asset classes globally and significantly reduce transaction costs for our clients.Its cloud-based platform, Algo Management System (AMS), is the first end-to-end algorithmic trading solution for equities and futures that delivers an entire ecosystem around execution algorithms, including transaction cost analysis (TCA), an algo customization tool called Strategy Studio, a trading dashboard, and pre-trade analytics in a single platform. The platform is currently live for US equity and global futures trading.

BestEx Research is challenging the status quo of stale, black-box solutions from execution providers in a $100 billion industry and offering next-generation execution algorithms that combine performance improvement with transparency and customization. BestEx Research uses leading-edge technology to support its low-latency, highly scalable research, and trading systems with its back end in C++, research libraries in C++/Python and R, and web-based technologies for delivering its front-end platforms.

Visit bestexresearch.com for more information about our mission, products, research, and services.

What you will do
As Assistant General Counsel and Compliance Officer, you will:

Assist the General Counsel/Chief Compliance Officer regarding legal/compliance matters at a growing firm.
Work closely with management, HR, operations, and sales teams to assure that BestEx Research satisfies all its legal/compliance obligations.
Review, negotiate and advise on a variety of contracts (e.g. client, employment, vendor, IT agreements).
Update and standardize our contracts and client on-boarding documentation.
Assure that BestEx Research is in compliance with all laws, regulations and rules applicable to it.
Identify any risks BestEx Research encounters and either remove or mitigate those risks.
Review and approve all BestEx Research marketing materials and publications.
Stay abreast of current events, regulatory developments, and other changes that may impact BestEx Research.
Work in the BestEx Research office in Stamford, Ct. on a full-time basis.

Requirements

Who we are looking for
A person who is a good fit for this role is organized, comfortable working with data and systems, and able to collaborate with management and business leaders and professionals. The candidate should have strong written and verbal communication skills and be able to work effectively with internal stakeholders, clients and client prospects, and other external parties as required. Attention to detail and the ability to manage multiple priorities are essential.

This person must be willing to take initiative to investigate issues, maintain operational discipline, and improve existing processes. The learning curve will be meaningful, and the individual in this role will have a direct impact on how business operations are executed and measured as the firm continues to grow.

Education

Doctor of Jurisprudence degree from reputable law school
Undergraduate degree - B.A. or B.S.
Admitted to practice law in Connecticut or ability to become so licensed quickly

Experience & Background

Minimum of five years of relevant experience in financial services, either at a law firm, in-house (some in-house experience preferred), or with a regulator
Experience advising broker-dealer or buy-side entities
Experience in the electronic/algorithmic trading sector
Strong familiarity with SEC, FINRA, CFTC, and NFA rules
International experience a plus (UK FCA and Singapore MAS, EMEA & APAC markets)
Deep understanding of US equities market structure, global equities, and futures

Legal Matters

Corporate – agreements, investor relationships, equity plan, finance
Contracts - client, employment, vendor, IT, license agreements
Employment – contracts, orientation, training, departures
Firm Policies – WSPs, cybersecurity, technology governance, Code of Conduct
Client due diligence – agreements, on-boarding
Intellectual property
Insurance
Material non-public information
Confidential information and privacy

Compliance Matters

Compliance/Supervisory Policies
Marketing communications and reviews
Training
Regulatory examinations and inquiries
Regulatory filings
Relationships with regulators
AML
Registration oversight
Trade surveillance and market conduct oversight

General Skills

Strong communication skills
Hard worker
Team player
Innovative thinker who challenges assumptions and past practices
Analytical mindset
Systematic approach to tasks
Keen attention to detail and comfort working with data, systems, and dashboards
Strong organization skills; ability to manage multiple projects concurrently and set priorities
Deep understanding of regulatory framework and its application to BestEx Research
Ability to write clearly, concise communications and development of persuasive arguments
Ability to learn quickly about the BestEx Research business model and underlying technology
Positive, collaborative attitude, a strong sense of ownership and curiosity, and consistent drive to go above and beyond to deliver on shared goals

Benefits

Competitive base salary (dependent on experience
Annual discretionary bonus
Eligibility for BestEx Research 2019 Equity Plan
Competitive company health benefits
Annual vacation (20 days)
Annual work-from-home days (24 days)
Free parking at Stamford, Ct. office
Free adjacent exercise facility

Apply

Apply at BestEx Research

About the Company

BestEx Research

Offers multi-asset algorithmic trading execution

BestEx Research builds algorithmic trading tools for buy-side firms to reduce transaction costs and improve execution across multiple asset classes. Its multi-asset trading algorithms work by iteratively measuring performance and executing trades in a systematic way, feeding results back for refinement, and integrating with EMS/OMS or broker execution. The company differentiates itself through a quantitative approach combined with founder Hitesh Mittal's industry experience to deliver transparent, high-performance execution tailored to client goals. Its aim is to lower costs and improve execution quality for clients by providing measurable trading performance and easy integration with existing systems.

Company size: 51-200
Company stage: Early VC
Total funding: $16.5M
Headquarters: Stamford, CT
Founded: 2017

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