Senior Compliance Officer

$125,000 - $225,000/Yr

Investors' Exchange - New York, NY

Full-time - Senior

Hybrid - New York, NY

Securities, Commodity Contracts, and Other Financial Investments and Related Activities

About the position

At IEX, we're passionate about building technology that moves industries forward. Our story began when we built a stock exchange designed to deliver high-performance and achieve better execution quality for all investors. Our belief is that technology should level the playing field so that opportunity is equitable. We are applying what we learned from building a high-performance stock exchange to build technology that solves for complexity and accelerates the growth in other areas, including our recent announcement of our plans to launch an IEX options exchange. We aspire to build a trusted, disciplined, and diversified business. Our goal is to build transformative technology without ever compromising our integrity - and we're just getting started! IEX is looking for a self-motivated individual to join our Compliance team. You will report directly to our Chief Compliance Officer and primarily be responsible for compliance monitoring and testing, drafting and maintaining firm policies and procedures, and assisting with regulatory examinations and audits. You are a collaborative team-player that can exercise strong judgment and develop relationships with key stakeholders from across the organization. In addition to experience working in a compliance role, a willingness to learn and a firm commitment to building fairer markets are must haves.

Responsibilities

• Assist with regulatory exams and internal audit responses
• Compliance monitoring and testing designed to ensure the firm's continued compliance with applicable rules
• Draft and maintain firm policies and procedures
• Manage Compliance projects through implementation
• Work closely with Regulation, Risk, and Legal to implement and maintain effective internal controls designed to reasonably assure rule and system compliance
• Provide compliance guidance regarding compliance with IEX policies and procedures, IEX rules, and applicable federal securities laws and rules
• Assist with various firmwide books and records obligations
• Ad-hoc responsibilities (e.g., coordinating with stakeholder teams on the Compliance component of firmwide projects, conducting research, etc.)
• Assist with buildout of the Compliance program as IEX enters the options market

Requirements

• 5+ years' experience in a compliance-related role working on exchange, trading, and/or broker-dealer compliance
• Working knowledge of securities laws, FINRA rules, SEC and SRO rules, and AML regulations
• Series 7, 63, and 24 registrations preferred or willing to obtain
• Law degree (JD) from accredited law school and admission to bar of any state or District of Columbia preferred
• Experience with options trading a plus
• Project lead or project management experience
• Proven ability to successfully manage multiple complex projects with competing deadlines
• Strong track record of demonstrating a high level of personal initiative, including setting and achieving challenging goals
• Communications review and approval experience
• Experience with compliance management software
• Understanding of trading ecosystem and market structure dynamics
• Proven ability to anticipate and identify risks and effective mitigants
• An outstanding ability to communicate effectively and confidently (both oral and written)
• Proficient in FINRA CRD
• Proficient in Microsoft products

Benefits

• Comprehensive Benefits
• New hire stock equity (RSUs)
• 401K employer match
• Unlimited PTO
• 100% coverage for medical, dental, and vision
• OneMedical membership
• 16 weeks parental leave
• Wellness Benefits
• Flexible workplace
• Employer charity match
• Learning stipend
• Commuter benefits
• Jump Start onboarding program
• Internal mentor program cross-departmentally
• Friendly and inclusive workplace culture