Senior Compliance Officer

| Greater NYC Area
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The 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 is a must have. 

About you: 

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

What you’ll do: 

  • Lead regulatory exams and audit responses 
  • Internal audit oversight 
  • Compliance monitoring and testing to ensure firm’s continued compliance with applicable rules 
  • Draft and maintain firm policies and procedures 
  • Project manage the assessment and implementation of new compliance technologies 
  • Assist with various firmwide books and records obligations 
  • Ad-hoc responsibilities (e.g., preparing exchange Audit Committee meeting agendas and materials, and conducting legal research) 

Your background: 

  • 8 - 10 years’ experience in a compliance-related role 
  • Working knowledge of securities laws, FINRA rules, SEC and SRO rules, and AML regulations 
  • Series 7, 63 and 24 licenses required 
  • Broker-dealer experience preferred 
  • Communications review and approval experience preferred 
  • Compliance management software evaluation and 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. 

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Technology we use

  • Engineering
    • JavaLanguages
    • PythonLanguages
    • Node.jsFrameworks

Location

3 World Trade Center, New York , NY 10007

What are IEX Perks + Benefits

Health Insurance & Wellness Benefits
Dental Benefits
Vision Benefits
Health Insurance Benefits
Retirement & Stock Options Benefits
401(K)
Vacation & Time Off Benefits
Generous PTO
Perks & Discounts
Commuter Benefits
Some Meals Provided
Happy Hours

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. 20 paid vacation days. Bagel Friday's, happy hours, potluck competitions, and much more! Focused on providing a diverse and inclusive workplace.

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