Senior Compliance Officer, IEX
$175-225k
+ Bonus + Equity
Equity trading exchange
Job no longer available
Equity trading exchange
101-200 employees
Job no longer available
$175-225k
+ Bonus + Equity
101-200 employees
Company mission
To innovate with a purpose: to drive trading performance for market participants.
Role
Who you are
- This role requires a collaborative team-player that can exercise strong judgment and develop relationships with key stakeholders from across the organization
- Minimum of 5 years of post-law school experience, ideally in a compliance or regulatory role at a smaller broker-dealer, financial institution, or compliance consulting firm
- JD required; admission to at least one U.S. state bar with NY preferred
- Proven ability to work cross functionally with business partners to implement and maintain effective compliance policies and programs
- Experience interacting with regulators such as FINRA and the SEC
- Strong legal drafting and writing skills with a meticulous attention to detail
- Demonstrated ability to work independently, prioritize competing demands, and take ownership of projects from start to finish
- Familiarity with broker-dealer operations and reporting obligations
- Experience with options trading is a plus
- Self-starter who operates independently, can manage multiple projects, and collaborate effectively with the business teams
- Pragmatic, solutions-oriented mindset with the ability to balance regulatory rigor and business practicality
- Strong communicator who can distill complex issues into clear guidance and documentation
- Comfortable working across multiple compliance areas and adapting to evolving priorities in a growing company
What the job involves
- We are seeking a highly capable and hands-on Senior Compliance Officer to join our Compliance team
- This is a key role for an experienced compliance generalist who has strong project management skills and enjoys working across multiple functions
- This position offers broad exposure and ownership across the compliance function — ideal for a self-starter who demonstrates the ability to manage complex projects from inception to completion while partnering with the business units to embed compliance into daily operations
- In addition, the ideal candidate will have experience drafting clear, well-reasoned policies and procedures, regulatory responses, and work product with keen attention to detail
- Manage day-to-day organization-wide projects to further compliance initiatives
- Draft, review, and maintain compliance policies, procedures, and manuals to ensure adherence to regulatory requirements at scale for multiple regulated entities
- Represent the compliance function in internal working group meetings, including presenting related data and ensuring governance functions are met
- Execute compliance audits, including gathering data, coordinating internal reviews, and preparing formal written responses
- Analyze and synthesize large volumes of data to prepare clear, accurate reports and memoranda
- Manage ongoing compliance monitoring and reporting, ensuring deliverables are met on time and with precision
- Collaborate closely with business and legal partners to identify risks, implement controls, and promote a culture of compliance
- Support ad hoc projects, regulatory changes, and operational initiatives that require compliance input
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, focussing 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 show 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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