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Chief Legal And Compliance Officer

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BestEx ResearchOld Greenwich, CT
  • About BestEx ResearchBestEx Research is a financial technology and research firm specializing in building sophisticated execution algorithms and transaction cost modeling tools servicing multiple asset classes.
  • BestEx Research is also an agency broker for performing equity transactions and an introducing broker for performing futures transactions.
  • 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, futures, and foreign exchange 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 disrupting a $100 billion industry by challenging the status quo of stale, black-box solutions from banks and offering next-generation execution algorithms that combine performance improvement with transparency and customization.
  • Visit for more information about our mission, products, research, and services.
  • Why work at BestEx Research?
  • If you want to help investors reduce their trading costs in an incredibly complex market structure and help create and shape an industry-defining product, then this is an excellent opportunity to join an incredibly talented team of 25+.
  • BestEx Research has almost zero turnover, top notch clients, zero bureaucracy, and a flat organizational structure.
  • It is a true meritocracy, set in a collaborative environment, where every employee is working on extraordinarily interesting projects.
  • Employees at BestEx Research have exposure to much more variety in the projects they complete and opportunities for growth than in similar roles at other firms.
  • Location: Stamford, ConnecticutOur office is conveniently located in Downtown, Stamford walking distance from Stamford train station.
  • Amenities include modern work spaces, free valet parking, a fitness center, and free meals.
  • Primary Job ResponsibilitiesIn this role, you will be responsible for the firm's overall legal and compliance and will report to the CEO of the company.
  • That includesDesigning and Implementing Written Supervisory Procedures for the broker dealer and introducing brokerCommunications with FINRA and NFA, maintaining the calendar for both set of regulators Handling Investors, Client, Vendor, Employees and Consultant agreementsRequirementsAt least 5 years of relevant experienceAll the needed certifications to perform these responsibilitiesPrior experience with electronic trading brokerage firms

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