Compliance Officer

Join IEX, a leading stock exchange, as a Compliance Officer. In this hands-on role, you will develop and manage firm policies and procedures, enhance compliance monitoring and testing, and collaborate with various departments to implement effective policies and internal controls. You will also assist with regulatory exams, audits, and compliance projects, while helping to build out the Compliance program as IEX enters the options market. This hybrid position is based in New York and offers a range of benefits, including 100% employer-paid medical, dental, and vision premiums, a matched 401(k), and unlimited PTO.

• 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, working with various departments to implement effective policies.

• 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