Compliance Officer

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.