Senior Compliance Officer, IEX
$175-225k
+ New hire stock equity (RSUs) + Bonus
We do sponsor visas
Equity trading exchange
Open for applications
Equity trading exchange
201-500 employees
Open for applications
$175-225k
+ New hire stock equity (RSUs) + Bonus
We do sponsor visas
201-500 employees
Company mission
To innovate with a purpose: to drive trading performance for market participants.
Role
Who you are
- 5+ years’ experience in a compliance-related role working on exchange, trading, and/or broker-dealer compliance
- Working knowledge of securities laws, FINRA rules, SEC and SRO rules, and AML regulations
- Series 7, 63, and 24 registrations preferred or willing to obtain
- Law degree (JD) from accredited law school and admission to bar of any state or District of Columbia preferred
- Experience with options trading a plus
- Project lead or project management experience
- Proven ability to successfully manage multiple complex projects with competing deadlines
- Strong track record of demonstrating a high level of personal initiative, including setting and achieving challenging goals
- Communications review and approval experience
- Experience with compliance management software
- Understanding of trading ecosystem and market structure dynamics
- Proven ability to anticipate and identify risks and effective mitigants
- An outstanding ability to communicate effectively and confidently (both oral and written)
- Proficient in FINRA CRD
- Proficient in Microsoft products
- Uncompromising integrity
- High trust
- Hard worker, self-starter, meticulous attention to detail
- Ability to firmly enforce policies and procedures
- Collaborative team player with excellent written and verbal communication skills
- Intellectual curiosity and willingness to learn, including with respect to equity market structure, functionality, and technologies
- Ability to think strategically as well as execute tactically – not afraid to get into the weeds
- High level of professionalism and sense of urgency
- Can adapt quickly in a fast-paced environment with multiple deliverables
- Excellent analytical and problem-solving skills, inquisitive nature, and comfort challenging current practices, where appropriate
- Firm dedication to the core values of IEX – belief of fairness and transparency in the financial markets
What the job involves
- IEX is looking for a self-motivated individual to join our Compliance team
- You will report directly to our Chief Compliance Officer and primarily be responsible for compliance monitoring and testing, drafting and maintaining firm policies and procedures, and assisting with regulatory examinations and audits
- Support the Chief Compliance Officer in all aspects of the firm’s compliance program
- Assist with regulatory exams and internal audit responses
- Compliance monitoring and testing designed to ensure the firm’s continued compliance with applicable rules
- Draft and maintain firm policies and procedures
- Manage Compliance projects through implementation
- Work closely with Regulation, Risk, and Legal to implement and maintain effective internal controls designed to reasonably assure rule and system compliance
- Provide compliance guidance regarding compliance with IEX policies and procedures, IEX rules, and applicable federal securities laws and rules
- Assist with various firmwide books and records obligations
- Ad-hoc responsibilities (e.g., coordinating with stakeholder teams on the Compliance component of firmwide projects, conducting research, etc.)
- Assist with buildout of the Compliance program as IEX enters the options market
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
Company
Funding (last 2 of 3 rounds)
Sep 2014
$75m
SERIES C
Mar 2013
$24.4m
SERIES B
Total funding: $100.9m
Company benefits
- Medical, dental and vision benefits premiums covered 100% for employees, spouses, and dependents
- Annual membership to One Medical primary care services
- Matched 401(k)
- Equity and bonus opportunities
- $5000 annual learning stipend
- $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
- Hybrid working
- Unlimited PTO
- 16 weeks paid parental leave for primary and secondary caregivers at the birth, adoption, or placement of a child
Company values
- Think Big, Do Good - We measure success by impact on the industries we serve and the communities we touch
- Be Gritty - Resilience and perserverance are in our DNA. We meet challenges head-on
- Win Together - We celebrate our wins as one, learn from our mistakes together, and move together as a team
- Invent & Reinvent - A growth mindset is foundational to who we are. IEX is a place for creativity and continual learning
Company HQ
World Trade Center, New York, NY
Articles
Leadership
Bradley Katsuyama
(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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