Compliance Officer

• 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
• 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

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

• Attention to detail, good judgment, and a “no task too big or small” attitude
• Strong issue-spotting skills and a habit of providing solutions
• Curiosity about market structure and technology, and a commitment to fair, transparent markets
• Experience with policies and procedures and with compliance monitoring and testing
• Excellent communication and a collaborative, team-first style
• Ability to juggle multiple complex projects and own them to completion
• Working knowledge of securities laws, FINRA, SEC and SRO rules, and AML
• 5+ years in compliance at an exchange, broker-dealer, or trading firm
• 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
• Experience with AI tools and compliance management software
• Series 7 and 24, 14 or willingness to obtain them