Among other entities, the IEX Group, Inc. (“IEX”) companies include a national securities exchange and affiliated routing broker-dealer. 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, drafting and maintaining firm policies and procedures, and leading regulatory examinations and audits. You are a collaborative team-player, with the ability to develop relationships with key stakeholders from across the organization. In addition to experience working in a compliance role, a willingness to learn, uncompromising integrity, and a firm commitment to building fairer markets are must haves.

About you:

• Self-starter and strong work ethic
• Excellent verbal and written communication skills and ability to enforce policies and procedures firmly
• Extremely detail-oriented
• Intellectual curiosity and willingness to learn
• Trustworthiness and discretion
• Collaborative team-player
• Uncompromising integrity

What you’ll do:

• Lead regulatory examinations and audit responses
• Own workstreams and manage project deadlines in a fast-paced environment
• Compliance monitoring and testing to ensure firm’s continued compliance with applicable rules
• Draft and maintain firm policies and procedures
• Own and provide oversight of compliance technology platforms
• Assist with various firmwide books and records obligations
• Ad-hoc responsibilities (e.g., preparing committee meeting agendas and minutes, board materials, and conducting legal research)

Your background:

• 8- 10 years’ experience in a compliance-related role
• Working knowledge of securities laws, FINRA and SEC rules and regulations, SRO rules, and AML regulations
• FINRA Series 7, 63 and 24 registrations required
• Broker-dealer experience
• National securities exchange or trading venue experience preferred
• Experience leading regulatory examination and/or audit responses
• Experience drafting policies and procedures
• Project lead experience
• Communications review and approval experience preferred
• Understanding of trading ecosystem and market structure dynamics
• J.D. preferred
  

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.