IEX
We build technology that removes barriers, unlocks scale, and moves industries forward.
New York , NY
Hybrid

Regulation Associate/Counsel

Sorry, this job was removed at 11:41 a.m. (EST) on Friday, February 23, 2018
Find out who's hiring in Greater NYC Area.
See all Legal jobs in Greater NYC Area
Apply
By clicking Apply Now you agree to share your profile information with the hiring company.

About you:

  • Excellent written and verbal communication skills
  • Meticulous attention to detail
  • Intellectual curiosity

What you’ll do:

  • Assist with Regulation SCI compliance matters, including oversight of rules and compliance test battery
  • Respond to formal and informal regulatory inquiries from the SEC and other governmental regulators
  • SEC rule filings
  • Work with internal IEX teams on clearly erroneous execution issues, membership approval, error handling and firm-wide training
  • Oversight of FINRA’s performance of outsourced regulatory functions
  • Review and assess SEC filings and news releases of listed issuers to identify potential regulatory impact
  • Interface with listed issuers to assess materiality of pending news
  • Coordinate with IEX operations to assure that listed issuer corporate actions are processed properly
  • Contribute to development of written and oral communications to IEX senior management, board of directors and committees, and SEC staff
  • Work with internal and external resources to develop and implement technology tools to support listing compliance and market watch surveillance programs
  • Draft policies and procedures

Your background:

  • Minimum 5-10 years of experience in regulation, compliance or audit with a securities exchange, broker dealer, asset manager, market data vendor or clearing agency
  • Proven ability to successfully manage multiple complex projects with competing deadlines
  • Experience and subject matter expertise related to exchange regulatory and/or broker-dealer compliance
  • Familiarity with, or interest in learning about, equity macro and micro market structure 

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.

See More
Apply Now
By clicking Apply Now you agree to share your profile information with the hiring company.

What are IEX Perks + Benefits

Culture
Volunteer in local community
Partners with nonprofits
Open door policy
OKR operational model
Team based strategic planning
Pair programming
Open office floor plan
Employee resource groups
Employee-led culture committees
Hybrid work model
In-person all-hands meetings
Flexible work schedule
Remote work program
Diversity
Highly diverse management team
Mean gender pay gap below 10%
Diversity employee resource groups
Hiring practices that promote diversity
Diversity recruitment program
Health Insurance & Wellness Benefits
Flexible Spending Account (FSA)
Disability insurance
Dental insurance
Vision insurance
Health insurance
Life insurance
Wellness programs
Team workouts
Mental health benefits
Financial & Retirement
401(K)
401(K) matching
Company equity
Performance bonus
Charitable contribution matching
Child Care & Parental Leave Benefits
Childcare benefits
Generous parental leave
Family medical leave
Company sponsored family events
Vacation & Time Off Benefits
Unlimited vacation policy
Generous PTO
Paid holidays
Paid sick days
Unlimited PTO
Flexible time off
Floating holidays
Office Perks
Commuter benefits
Company-sponsored outings
Free snacks and drinks
IEX has a stocked pantry and fridge including unlimited snacks, coffee, tea, soda, and seltzer on tap!
Some meals provided
Company-sponsored happy hours
Recreational clubs
Relocation assistance
Mother's room
Onsite gym
Professional Development Benefits
Job training & conferences
Tuition reimbursement
Lunch and learns
Promote from within
Continuing education stipend
Online course subscriptions available
Paid industry certifications

Additional Perks + Benefits

100% covered One Medical membership. 100% employer-paid premiums for medical, dental, and vision benefits (including spouses and dependents). Pre-tax Commuter benefits, Flexible Spending Account, and Dependent Care Spending Account. Unlimited PTO. Bagel Tuesday's, happy hours, potluck competitions, and much more! Focused on providing a diverse and inclusive workplace.

More Jobs at IEX

Apply Now
By clicking Apply Now you agree to share your profile information with the hiring company.
Learn more about IEXFind similar jobs like this