Compliance Officer

IEX, a leading stock exchange, as a Compliance Officer. In this hands-on role, you will develop and manage firm policies and procedures, enhance compliance monitoring and testing, and collaborate with various departments to implement effective policies and internal controls.

Responsibilities

• You will also assist with regulatory exams, audits, and compliance projects, while helping to build out the Compliance program as IEX enters the options market.
• Draft, manage, and advise on firm policies and procedures, including those for options.
• Build, run, and enhance compliance monitoring and testing, including drafting the controls we test against.
• Spot potential issues early and propose practical solutions, working with various departments to implement effective policies.

Requirements

• Attention to detail, good judgment, and a "no task too big or small" attitude
• Strong issue-spotting skills and a habit of providing solutions
• Curiosity about market structure and technology, and a commitment to fair, transparent markets
• Experience with policies and procedures and with compliance monitoring and testing

Excellent communication and a collaborative, team-first style

• Ability to juggle multiple complex projects and own them to completion
• Working knowledge of securities laws, FINRA, SEC and SRO rules, and AML
• 5+ years in compliance at an exchange, broker-dealer, or trading firm
• Series 7 and 24, 14 or willingness to obtain them

Preferred

• Experience drafting (not just maintaining) policies and controls, or building a testing or monitoring program
• Experience working with Technology teams
• Equities and options experience
• JD and bar admission
• Experience with AI tools and compliance management software

Pay

USD 125,000 - 175,000

Join

This hybrid position is based in New York and offers a range of benefits, including 100% employer-paid medical, dental, and vision premiums, a matched 401(k), and unlimited PTO.