Senior Compliance Officer
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.
The job is a hybrid role located in the New York office.
About you:
- Uncompromising integrity
- High trust
- Hard worker, self-starter, meticulous attention to detail
- Ability to firmly enforce policies and procedures
- Collaborative team player with excellent written and verbal communication skills
- Intellectual curiosity and willingness to learn, including with respect to equity market structure, functionality, and technologies
- Ability to think strategically as well as execute tactically – not afraid to get into the weeds
- High level of professionalism and sense of urgency
- Can adapt quickly in a fast-paced environment with multiple deliverables
- Excellent analytical and problem-solving skills, inquisitive nature, and comfort challenging current practices, where appropriate
- Firm dedication to the core values of IEX – belief of fairness and transparency in the financial markets
What you’ll do:
Support the Chief Compliance Officer in all aspects of the firm’s compliance program, including:
- 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
Your background:
- 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
Why You Should Apply:
- 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
Our job titles may span more than one career level. The starting annual base pay is between $175,000 and $225,000 for this NY-based position. The actual base pay is dependent upon many factors, such as: training, transferable skills, work experience, business needs and market demands. The annual base pay range is subject to change and may be modified in the future. This role is eligible for bonus and equity.
Here at IEX, we are dedicated to an inclusive workplace and culture. We are an Equal Opportunity Employer that does not discriminate on the basis of actual or perceived race, color, creed, religion, alienage or national origin, ancestry, citizenship status, age, disability or handicap, sex, marital status, veteran status, sexual orientation, genetic information or any other characteristic protected by applicable federal, state or local laws. This policy not only complies with all applicable laws and protects workers' rights but is vital to IEX’s overall mission and values.
