Compliance Officer, IEX
$125-175k
+ Bonus & Equity
Equity trading exchange
Be an early applicant
Equity trading exchange
201-500 employees
Be an early applicant
$125-175k
+ Bonus & Equity
201-500 employees
Company mission
To innovate with a purpose: to drive trading performance for market participants.
Role
Who you are
- 5+ years in compliance at an exchange, broker-dealer, or trading firm
- Experience with policies and procedures and with compliance monitoring and testing
- Working knowledge of securities laws, FINRA, SEC and SRO rules, and AML
- Strong issue-spotting skills and a habit of providing solutions
- Ability to juggle multiple complex projects and own them to completion
- Excellent communication and a collaborative, team-first style
- Attention to detail, good judgment, and a "no task too big or small" attitude
- Curiosity about market structure and technology, and a commitment to fair, transparent markets
Desirable
- Experience drafting (not just maintaining) policies and controls, or building a testing or monitoring program
- Experience working with Technology teams
- Equities and options experience
- JD and bar admission
- Series 7 and 24, 14 or willingness to obtain them
- Experience with AI tools and compliance management software
What the job involves
- IEX is looking for a self-motivated Compliance Officer to join our team and report to the Chief Compliance Officer. You'll help develop the policies and procedures that guide how we operate and conduct the monitoring and testing that confirm we follow them
- This is a hands-on role for someone who enjoys working across several areas of a compliance program. You'll collaborate with experts in Regulation, Risk, Legal, InfoSec, and Technology, learning from colleagues across the company as you tackle complex projects and develop practical solutions
- This is a hybrid role based in our New York office
- Draft, manage, and advise on firm policies and procedures, including those for options
- Build, run, and enhance compliance monitoring and testing, including drafting the controls we test against
- Spot potential issues early and propose practical solutions
- Work with Regulation, Risk, Legal, InfoSec, and Technology to implement and maintain effective policies and internal controls
- Provide guidance on IEX policies, federal securities laws, and industry rules and regulations
- Assist with regulatory exams, audits, and books and records obligations
- Manage compliance projects from start to finish
- Help build out the Compliance program as IEX enters the options market
- Find ways to make compliance processes more efficient, including with AI tools
Our take
Innovations in fintech infrastructure have dramatically changed how people invest, but despite such developments, investors still face limitations when trading assets. Exchanges often list out-of-date pricing information, which limits investors' abilities to make strategic investment decisions, a problem that is heightened through knock-on effects from other unstable stock prices.
IEX provides a registered US stock exchange for investors and broker-dealers, focusing on providing a more stable trade execution experience than existing exchanges. The company achieves this through its "Speed Bump" strategy that delays trades to gather up-to-date pricing information whilst assessing them for price stability, ensuring that trades are not executed based on stale data, and helping to notify other orders to react to other stock price stability levels.
Whilst the company must share the stock exchange sector with many competitors, IEX shows great promise through its focus on maintaining pricing accuracy and stability. The company also stands out by providing a cloud platform for the selling, sharing, and use of financial data, in addition to an investment lifecycle advice tool for institutional investors.
Kirsty
Company Specialist at Welcome to the Jungle
Insights
15% employee growth in 12 months
Company
Funding (last 2 of 3 rounds)
Sep 2014
$75m
SERIES C
Mar 2013
$24.4m
SERIES B
Total funding: $100.9m
Company benefits
- 100% Employer-Paid Benefit Premiums: Medical, dental and vision benefits premiums covered 100% for employees, spouses, and dependents
- One MEdical Membership: 100% company-paid annual membership to One Medical primary care services
- Matched 401(k), Equity & Bonus Offerings: Competitive compensation packages including equity and bonus opportunities and 401(k) with annual company match
- Learning Stipend and Non-Profit Donation Match: $5000 annual learning stipend and $1000 annual match for donations to 5013(c) organizations of your choice
- In-Office Gym: Fully equipped with weights, treadmills, a Peloton bike, and locker rooms with showers
- Lunch and Learns: Have lunch on IEX and listen to co-workers present on their areas of expertise
- Hybrid Working Environments: Teams determine how and where they work – home, on the road, or in office
- Flexible Vacation Policy: With unlimited PTO, recharge your batteries and come to work ready to innovate
- 16 Weeks Paid Parental Leave: Offered for primary and secondary caregivers at the birth, adoption, or placement of a child
Company HQ
World Trade Center, New York, NY
Leadership
Bradley Katsuyama
(Co-Founder & CEO)Founding Board Member of The Public Health Company. Spent 11 years at RBC Capital Markets, ultimately as Managing Director of US Cash Equity Trading.
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