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Salary: USD 125,000 - 175,000 / annual
IEX is an exchange operator and technology company founded in 2012 that operates a securities exchange designed to protect investors through transparent business practices and unique architecture. The company applies proprietary technology across asset classes to drive performance in capital markets.
You will join the compliance team reporting to the Chief Compliance Officer as a hands-on Compliance Officer. This role spans multiple areas of the compliance program, requiring collaboration with colleagues in Regulation, Risk, Legal, InfoSec, and Technology on complex projects and practical solutions.
Key responsibilities include:
- Draft, manage, and advise on firm policies and procedures, including those for options
- Build, run, and enhance compliance monitoring and testing programs, including drafting the controls tested against
- Identify potential issues early and propose practical solutions
- Work cross-functionally with Regulation, Risk, Legal, InfoSec, and Technology to implement and maintain effective policies and internal controls
- Provide guidance on IEX policies, federal securities laws, FINRA, SEC, SRO rules, and industry regulations
- Assist with regulatory exams, audits, and books and records obligations
- Manage compliance projects from initiation to completion
- Help build out the compliance program as IEX enters the options market
- Identify opportunities to make compliance processes more efficient, including through AI tools
This is a hybrid role based in the New York office.
Requirements:
- 5+ years of compliance experience at an exchange, broker-dealer, or trading firm
- Experience with policies and procedures development 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 manage multiple complex projects and own them to completion
- Excellent communication and collaborative, team-first style
- Attention to detail, good judgment, and willingness to tackle tasks of any size
- Curiosity about market structure and technology, and commitment to fair, transparent markets
Nice to have:
- Experience drafting (not just maintaining) policies and controls, or building testing/monitoring programs
- Experience working with Technology teams
- Equities and options market experience
- JD and bar admission
- Series 7, 24, or 14 licenses, or willingness to obtain them
- Experience with AI tools and compliance management software
