Compliance Analyst

| Greater NYC Area

IEX is looking for a self-motivated individual to join our Compliance team. You will be reporting directly to our Chief Compliance Officer, primarily responsible for compliance monitoring and testing, creating and maintaining firm policies and procedures, and assisting with regulatory examinations. You are a collaborative team-player, with the ability to develop relationships with key stakeholders from across the organization. Experience working in a compliance role is preferred, but a willingness to learn, uncompromising integrity, and a firm commitment to building fairer markets is a must have.

About you:

  • Strong work ethic
  • Excellent verbal and written communication skills
  • Intellectual curiosity and willingness to learn
  • Trustworthiness and discretion
  • Attention to detail
  • Collaborative team-player
  • Uncompromising integrity

What you’ll do:

  • Compliance monitoring and testing to ensure firm’s continued compliance with applicable rules
  • Creating and maintaining firm policies and procedures
  • Assisting with regulatory examinations, audits, compiling form filings
  • Project managing the assessment and implementation of new compliance technologies
  • Ad-hoc responsibilities (e.g., preparing committee meeting agendas and minutes, and conducting legal research)

Your background:

  • Bachelor’s degree, preferably business related
  • 0-5 years’ experience in a compliance related role
  • Proficient in Microsoft Office programs
  • Nice to have:
    • Working knowledge of securities laws, FINRA rules, SEC and SRO rules, and AML regulations
    • Series 7, 63 and 24 licenses (must be willing to obtain)
    • Some understanding of trading ecosystem and market structure dynamics

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.

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Location

4 World Trade , New York , NY 10007
4 World Trade , New York , NY 10007

What are IEX Group Perks + Benefits

Health Insurance & Wellness Benefits
Dental Benefits
Vision Benefits
Health Insurance Benefits
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