Compliance Officer
About The Position
IEX is seeking a self-motivated Compliance Officer to help develop the policies and procedures that guide the company’s operations and to conduct monitoring and testing to confirm compliance. This hands-on role spans several areas of the compliance program and involves working with colleagues in Regulation, Risk, Legal, InfoSec, and Technology to tackle complex projects and develop practical solutions. The position reports to the Chief Compliance Officer and is hybrid, based in IEX’s New York office. The Compliance Officer will support IEX as it enters the options market, including building out the Compliance program for that business. The role also involves advising on company policies and applicable securities laws and industry rules, supporting regulatory exams, audits, and books and records obligations, managing compliance projects, and improving compliance processes, including through the use of AI tools.
Requirements
- At least 5 years of compliance experience at an exchange, broker-dealer, or trading firm.
- Experience with policies and procedures, as well as compliance monitoring and testing.
- Working knowledge of securities laws, FINRA, SEC and SRO rules, and AML.
- Strong issue-spotting skills and a habit of proposing solutions.
- Ability to manage multiple complex projects and see them through to completion.
- Excellent communication skills and a collaborative, team-first style.
- Attention to detail, good judgment, and a willingness to take on tasks of any size.
- Curiosity about market structure and technology, and commitment to fair, transparent markets.
Nice To Haves
- Experience drafting policies and controls, or building a testing or monitoring program.
- Experience working with Technology teams.
- Equities and options experience.
- JD and bar admission.
- Series 7 and 24, Series 14, or willingness to obtain them.
- Experience with AI tools and compliance management software.
Responsibilities
- Draft, manage, and advise on firm policies and procedures, including policies and procedures for options.
- Build, run, and enhance compliance monitoring and testing, including drafting the controls being tested.
- Identify potential issues early and propose practical solutions.
- Work with Regulation, Risk, Legal, InfoSec, and Technology to implement and maintain effective policies and internal controls.
- Provide guidance on IEX policies, federal securities laws, and industry rules and regulations.
- Assist with regulatory exams, audits, and books and records obligations.
- Manage compliance projects from start to finish.
- Help build out the Compliance program as IEX enters the options market.
- Identify ways to make compliance processes more efficient, including through AI tools.
Benefits
- Eligible for bonus and equity.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
