Compliance Officer

📋 Description

• 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
• Spot potential issues early and propose practical solutions.
• Work with Regulation, Risk, Legal, InfoSec, and Technology to implement and maintain effective
• Provide guidance on IEX policies, federal securities laws, and industry rules and regulations.
• Assist with regulatory exams, audits, and books and records obligations.

🎯 Requirements

• 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.

🎁 Benefits

• Eligible for bonus and equity.
• Inclusive workplace and culture.
• Equal Opportunity Employer.