Senior Compliance Officer

Investors' Exchange LLC•New York, NY

70d•$175,000 - $225,000

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 results 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 growth in other areas. 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! Overview We are seeking a highly capable and hands-on Senior Compliance Officer to join our Compliance team. This is a key role for an experienced compliance generalist who has strong project management skills and enjoys working across multiple functions. This position offers broad exposure and ownership across the compliance function - ideal for a self-starter who demonstrates the ability to manage complex projects from inception to completion while partnering with the business units to embed compliance into daily operations. In addition, the ideal candidate will have experience drafting clear, well-reasoned policies and procedures, regulatory responses, and work product with keen attention to detail. This role requires a collaborative team-player that can exercise strong judgment and develop relationships with key stakeholders from across the organization.

Requirements

Minimum of 5 years of post-law school experience, ideally in a compliance or regulatory role at a smaller broker-dealer, financial institution, or compliance consulting firm.
JD required; admission to at least one U.S. state bar with NY preferred.
Proven ability to work cross functionally with business partners to implement and maintain effective compliance policies and programs.
Experience interacting with regulators such as FINRA and the SEC.
Strong legal drafting and writing skills with a meticulous attention to detail.
Demonstrated ability to work independently, prioritize competing demands, and take ownership of projects from start to finish.
Familiarity with broker-dealer operations and reporting obligations.

Nice To Haves

Experience with options trading is a plus.

Responsibilities

Manage day-to-day organization-wide projects to further compliance initiatives.
Draft, review, and maintain compliance policies, procedures, and manuals to ensure adherence to regulatory requirements at scale for multiple regulated entities.
Represent the compliance function in internal working group meetings, including presenting related data and ensuring governance functions are met.
Execute compliance audits, including gathering data, coordinating internal reviews, and preparing formal written responses.
Analyze and synthesize large volumes of data to prepare clear, accurate reports and memoranda.
Manage ongoing compliance monitoring and reporting, ensuring deliverables are met on time and with precision.
Collaborate closely with business and legal partners to identify risks, implement controls, and promote a culture of compliance.
Support ad hoc projects, regulatory changes, and operational initiatives that require compliance input.