Compliance/Legal Analyst

Teza Technologies - Chicago, IL (30+ days ago)


About Us

Teza is a quantitative asset management firm that strives to develop innovative, high Sharpe investment products for its clients. Originally founded in 2009 as a science and technology driven global quantitative trading business, Teza derives its unique edge in asset management from its high-frequency trading past and science-based investment approaches. Under the leadership of CEO Misha Malyshev, Teza's innovative approaches to quantitative research and platform engineering distinguish us from other quant trading firms. We have successfully assembled a group of top talent, including widely recognized experts in quantitative trading. Teza employs over 50 professionals worldwide with offices in Austin, Berkeley, Chicago, New York, and Shanghai.

About the Role

We are seeking a candidate to assist with legal, compliance and regulatory matters relating to Teza Capital Management LLC. TCM is registered with the SEC as an investment adviser and the CFTC as a commodity pool operator/commodity trading advisor. An ideal candidate will have great communication skills, a high level of attention to detail, and the ability to work independently in a fast-paced, multi-tasking environment. We offer competitive compensation and excellent benefits. The role is based in our Chicago office.

Essential Functions

  • Support General Counsel and Chief Compliance Officer in administering Teza's legal matters and compliance programs
  • Monitor trading-related compliance guidelines and limits, and coordinate between CCO, risk and trading operations personnel as appropriate
  • Provide legal support and advice in connection with all marketing and investor relations activities, including review of all related marketing, disclosure and due diligence materials.
  • Monitor and identify legal, regulatory, compliance and industry developments applicable to Teza's business
  • Draft and, as applicable, coordinate external counsel review of a wide variety of agreements, including agreements with service providers and counterparties
  • Develop a general understanding of firm technologies and businesses in order to provide advice with respect to new products, programs, services and business initiatives to ensure that legal and compliance issues are identified and addressed
  • Research and advise on applicable securities and commodities laws and regulations
  • Advise on, and update as necessary, internal policies and procedures, including SEC and CFTC compliance policies
  • Assist with regulatory filings (e.g., SEC Edgar, CRD IARD and NFA BASIC) and compliance monitoring systems for communications and trading activities
  • Research and coordinate with external counsel regarding applicable U.S. and non-U.S. offering and marketing regulations
  • Provide training and education to assure employees are aware of their legal and compliance responsibilities
  • Other duties as assigned
Preferred and Required Skills, Experience and Education

  • 3-6 years of experience working in the hedge fund/investment management industry for an investment adviser, CPO/CTA, law firm or regulatory organization
  • Detailed knowledge of hedge funds/commodity pools and applicable securities and commodities regulations, including relevant provisions of the Advisers Act and Commodity Exchange Act
  • Experience with private fund and management company operations, structuring, and governance
  • Experience with exchange rules preferred
  • Knowledge of U.S. and foreign securities marketing considerations
  • Outstanding written (drafting and editing) and spoken communication abilities
  • Highly organized and capable of dealing with multiple, complex projects simultaneously
  • J.D. required