Full-Time
Assistant General Counsel/Compliance Officer
BestEx Research
51-200 employees
Offers multi-asset algorithmic trading execution
No salary listed
Stamford, CT, USA
In Person
Full-time work in the Stamford office is required; 24 annual work-from-home days are available.
JD, Bachelor of Arts (BA), Bachelor of Science (BS)
 Legal (1) |
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- A Doctor of Jurisprudence degree from a reputable law school.
- An undergraduate Bachelor of Arts or Bachelor of Science degree.
- Admission to practice law in Connecticut or the ability to become licensed quickly.
- At least five years of relevant financial-services experience at a law firm, in-house, or with a regulator.
- Experience advising broker-dealer or buy-side entities.
- Experience in the electronic or algorithmic trading sector.
- Strong familiarity with Securities and Exchange Commission, Financial Industry Regulatory Authority, Commodity Futures Trading Commission, and National Futures Association rules.
- A deep understanding of United States equities market structure, global equities, and futures.
- A deep understanding of the regulatory framework and its application to BestEx Research.
- The ability to write clear, concise communications and develop persuasive arguments.
- The ability to learn quickly about the BestEx Research business model and underlying technology.
- Assist the General Counsel and Chief Compliance Officer with legal and compliance matters.
- Work with management, human resources, operations, and sales teams to ensure that BestEx Research 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 compliance with all applicable laws, regulations, and rules.
- Identify business risks and remove or mitigate them.
- Review and approve marketing materials and publications.
- Monitor current events, regulatory developments, and other changes that may affect BestEx Research.
- Handle corporate matters including agreements, investor relationships, equity plans, and finance.
- Handle contract matters involving client, employment, vendor, information-technology, and license agreements.
- Handle employment matters including contracts, orientation, training, and departures.
- Maintain firm policies involving written supervisory procedures, cybersecurity, technology governance, and the Code of Conduct.
- Conduct client due diligence involving agreements and onboarding.
- Address intellectual property, insurance, material non-public information, confidential information, and privacy matters.
- Support compliance and supervisory policies, marketing communications reviews, training, regulatory examinations and inquiries, regulatory filings, regulator relationships, anti-money laundering, registration oversight, trade surveillance, and market-conduct oversight.
- Some in-house experience is preferred.
- International experience involving the United Kingdom Financial Conduct Authority, Singapore Monetary Authority, EMEA, or APAC markets is a plus.
BestEx Research builds algorithmic trading software for buy-side firms to trade more efficiently and reduce transaction costs. It offers multi-asset trading algorithms that portfolio managers apply to measure performance and execute trades systematically, with feedback to improve results. The platform integrates with common EMS and OMS and can execute trades directly with brokers. By combining quantitative methods with founder Hitesh Mittal's industry experience, it aims to deliver transparent, high-performance execution tailored to client goals and workflows.
Company Size
51-200
Company Stage
Early VC
Total Funding
$16.5M
Headquarters
Stamford, Connecticut
Founded
2017
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See people who can refer or advise you
Simplify's Take
What believers are saying
- BestEx secured $10 million in 2023 and added product breadth in 2026.
- June 2026 AMS One targets banks and brokers seeking faster algo-business launches.
- August 2026 Pulse AI and Curator deepen usage across equities, futures, and ATSs.
What critics are saying
- BestEx is still small, with 55 employees and limited platform leverage.
- Large banks can replicate AMS One features internally, compressing margins by 2027.
- If Pulse AI underperforms, AI branding becomes marketing noise, weakening enterprise trust.
What makes BestEx Research unique
- June 2026 AMS One bundles algorithms, EMS, and TCA into one managed platform.
- April 2026 Curator targets ATS venue selection with proprietary signals and segmentation.
- August 2026 Pulse AI exposes trading analytics through Claude and ChatGPT interfaces.
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Benefits
Health Insurance
Performance Bonus
Company Equity
Paid Vacation
Remote Work Options
Growth & Insights and Company News
6 month growth
↓ -1%1 year growth
↑ 0%2 year growth
↑ 1%BestEx Research Group LLC has launched Pulse AI, described as the world's first AI-native interface for institutional trading analytics. The platform integrates with AI assistants like Claude and ChatGPT, allowing traders to query BestEx Research's proprietary models and market data. Pulse AI provides pre-trade analysis including liquidity characteristics and cost estimation, alongside broker-neutral post-trade transaction cost analysis. Pre-trade analytics are currently live for global futures, with equities capabilities arriving in October. The post-trade TCA feature is scheduled for Q1 2027. The platform aims to eliminate manual data extraction and model building, enabling traders to conduct conversational analysis of execution quality and broker performance. It provides unified methodology across multiple brokers, addressing the challenge of comparing partial performance reports. BestEx Research is an independent provider of execution algorithms and trading technology for global equities and futures.
BestEx Research has launched AMS One, an end-to-end algorithmic trading platform enabling banks and brokers to build execution businesses across global equities and futures markets. The platform covers equities in the US, Canada, 15 European markets and four Asia-Pacific markets, plus futures contracts across 21 global exchanges. AMS One integrates four components: high-performance execution algorithms, customisation tools for building branded strategies, transaction cost analytics and consistent cross-market functionality. Its Strategy Studio offers over 150 configurable parameters controlling algorithm decisions, whilst smart order routing provides flexible venue selection and order management. The platform includes real-time monitoring for thousands of orders, automated algorithm assignment and integrated transaction cost analysis. Its predecessor, AMS, launched in 2019 and has executed trillions in notional value.
BestEx Research launches AMS One, enabling banks and brokers to build algorithmic execution businesses across global equities and futures markets in a single, end-to-end platform. June 11, 2026 STAMFORD, Conn., June 11, 2026 /PRNewswire/ - BestEx Research Group LLC, an independent provider of high-performance algorithmic execution and trading analytics, today announced the launch of AMS One, an end-to-end algorithmic trading platform that allows banks and brokers to build and run their own execution business across global equities and futures markets. AMS One provides a plug-and-play trading infrastructure that enables banks and brokers to compete with tier-one institutions, bringing together the four components necessary to run a competitive algorithmic execution enterprise. The platform includes high-performance execution algorithms, the tools required to build branded algorithms and tailor them to each client's objectives, a fully integrated transaction cost analytics module that supports execution consulting, and a consistent experience across global markets and all asset classes traded. AMS One spans equities in the US, Canada, Europe (15 markets), and APAC (4 markets), plus futures contracts across 21 global exchanges, so platform users can launch and grow their business from day one. "Our clients aren't looking to buy software. They're trying to build a business that wins and attracts more order flow," said Hitesh Mittal, Founder and CEO of BestEx Research. "Most vendors in this space are software companies that focus only on the technology side of electronic trading and leave market structure and product design unattended. The result is execution that doesn't match what a tier-one institution would deliver, and clients are left to maintain the infrastructure themselves. We built AMS One so banks and brokers get everything they need in one fully managed platform, without the eight-figure build." AMS One pairs global reach with depth in every module. Strategy Studio, a no-code customization tool, provides over 150 configurable parameters that govern every decision an algorithm makes, controlling how it schedules and places an order, manages urgency, adapts when ahead or behind schedule, and handles volume constraints and order completion. That gives desks granular control at every level of execution. The platform also delivers the industry's first fully flexible smart order routing infrastructure, with control over venue selection and prioritization, order types, pegging logic, resting duration, and refresh behavior, whether an order is passive, hidden, dark, or conditional. Strategies can be tailored to individual clients and assigned in a few clicks, or built from scratch with differentiated intellectual property and rolled out as custom, branded algorithms. "Our clients will be judged by the fills they provide, not the platform behind them, so we built AMS One to be the platform our sell-side clients would aspire to build themselves," said Nigam Saraiya, Chief Product Officer of BestEx Research. "It is grounded in algorithmic trading expertise, with market structure at its core, and supported by robust technology written in C++ and co-located globally, so our clients don't have to compromise on performance." The platform is built to support a large buy-side client base, with component modules that allow banks and brokers to exceed client expectations with the level of service they provide. Real-time monitoring tracks thousands of live orders at once, with configurable alerts and notifications, and lets a trader work alongside the algorithm to provide a high-touch experience to their clients. Built-in A/B testing supports comparison across strategies, and Meta Strategies automate algorithm assignment based on order characteristics as orders arrive, so each client's orders are handled according to their specific needs. Every order rolls into the platform's TCA module, designed by the same team that builds the algorithms, where execution quality is measured at the parent-order and fill levels and used to refine strategy. About BestEx Research BestEx Research Group LLC provides independent, research-driven execution algorithms, trading technology, and trade analytics for equities and futures that aim to reduce trading costs for institutional investors. For more information on BestEx Research's mission and products or request a demo, visit www.bestexresearch.com. Connect with BestEx Research on LinkedIn.
BestEx Research has launched TASClose, an execution algorithm designed to help institutional futures traders achieve settlement prices by optimising execution across TAS (Trading at Settlement) and underlying futures liquidity. The algorithm addresses a common challenge for commodity-focused hedge funds, asset managers and index funds that benchmark to daily futures settlement prices. Settlement prices are calculated as a VWAP over the final one to two minutes of trading, making clean execution difficult without market impact. TASClose coordinates TAS orders with underlying futures orders, automatically optimising the mix to minimise deviation from settlement whilst reducing market impact. The algorithm is available across 29 TAS-eligible markets, including crude oil, natural gas, copper and corn, with support for both outrights and calendar spreads.
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