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Financial Services, FinTech, Stock Exchange, Capital Markets

Compliance Officer

New YorkHybridFull Time$125,000–$175,000 /yrPosted 23 days agoVisa sponsorship available

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Required skills

  • compliance
  • policies
  • procedures
  • monitoring
  • securities laws
  • FINRA
  • SEC
  • SRO rules
  • AML
  • regulatory exams

Nice to have

  • AI tools
  • compliance management software
  • Series 7
  • Series 24
  • Series 14
  • market structure

Role summary

IEX is seeking a self-motivated Compliance Officer to join their team in New York City. This hybrid role reports to the Chief Compliance Officer and involves developing policies and procedures, conducting monitoring and testing, and collaborating with various departments like Regulation, Risk, Legal, InfoSec, and Technology. The ideal candidate will have 5+ years of compliance experience at an exchange, broker-dealer, or trading firm, with a strong understanding of securities laws, FINRA, SEC, SRO rules, and AML. Responsibilities include managing compliance projects, assisting with regulatory exams, and finding ways to improve compliance processes, potentially using AI tools. Experience with equities and options is a plus.

About IEX

IEX is an exchange operator and technology company dedicated to innovating for performance in capital markets. Founded in 2012, IEX launched a new kind of securities exchange in 2016 that combines a transparent business model and unique architecture designed to protect investors. Today, IEX applies its proprietary technology and experience to drive performance across asset classes, serve investors, and advocate for transparent and competitive markets.

About the Role

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.

What You'll Do

  • 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.

    • Your Background

  • 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.

    • Nice to Have

  • 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.

    • Our job titles may span more than one career level. The starting annual base pay is between $125,000-$175,000 for this NY-based position. The actual base pay is dependent upon many factors, such as: training, transferable skills, work experience, business needs and market demands. The annual base pay range is subject to change and may be modified in the future. This role is eligible for bonus and equity.

    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

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