About IEX
At IEX, we’re passionate about building technology that moves industries forward. Our story began when we built a stock exchange designed to deliver high-performance results for all investors. Our belief is that technology should level the playing field so that opportunity is equitable. We are applying what we learned from building a high-performance stock exchange to build technology that solves for complexity and accelerates growth in other areas. We aspire to build a trusted, disciplined, and diversified business. Our goal is to build transformative technology without ever compromising our integrity - and we’re just getting started!
Overview
We are seeking a highly capable and hands-on Senior Compliance Officer to join our Compliance team. This is a key role for an experienced compliance generalist who has strong project management skills and enjoys working across multiple functions. This position offers broad exposure and ownership across the compliance function — ideal for a self-starter who demonstrates the ability to manage complex projects from inception to completion while partnering with the business units to embed compliance into daily operations.
In addition, the ideal candidate will have experience drafting clear, well-reasoned policies and procedures, regulatory responses, and work product with keen attention to detail. This role requires a collaborative team-player that can exercise strong judgment and develop relationships with key stakeholders from across the organization.
What You’ll Do
- Manage day-to-day organization-wide projects to further compliance initiatives.
- Draft, review, and maintain compliance policies, procedures, and manuals to ensure adherence to regulatory requirements at scale for multiple regulated entities.
- Represent the compliance function in internal working group meetings, including presenting related data and ensuring governance functions are met.
- Execute compliance audits, including gathering data, coordinating internal reviews, and preparing formal written responses.
- Analyze and synthesize large volumes of data to prepare clear, accurate reports and memoranda.
- Manage ongoing compliance monitoring and reporting, ensuring deliverables are met on time and with precision.
- Collaborate closely with business and legal partners to identify risks, implement controls, and promote a culture of compliance.
- Support ad hoc projects, regulatory changes, and operational initiatives that require compliance input.
Your Background
- Minimum of 5 years of post-law school experience, ideally in a compliance or regulatory role at a smaller broker-dealer, financial institution, or compliance consulting firm.
- JD required; admission to at least one U.S. state bar with NY preferred.
- Proven ability to work cross functionally with business partners to implement and maintain effective compliance policies and programs.
- Experience interacting with regulators such as FINRA and the SEC.
- Strong legal drafting and writing skills with a meticulous attention to detail.
- Demonstrated ability to work independently, prioritize competing demands, and take ownership of projects from start to finish.
- Familiarity with broker-dealer operations and reporting obligations.
- Experience with options trading is a plus.
Attributes for Success
- Self-starter who operates independently, can manage multiple projects, and collaborate effectively with the business teams.
- Pragmatic, solutions-oriented mindset with the ability to balance regulatory rigor and business practicality.
- Strong communicator who can distill complex issues into clear guidance and documentation.
- Comfortable working across multiple compliance areas and adapting to evolving priorities in a growing company.
Why you should apply:
- Comprehensive Benefits
- Unlimited PTO
- 100% coverage for medical, dental, and vision
- New hire stock equity (RSUs)
- 401K employer match
- OneMedical membership
- 16 weeks paid parental leave
- Flexible workplace
- Employer charity match
- Learning stipend
- Commuter benefits
- Jump Start onboarding program
- Internal mentor program cross-departmentally
- Friendly and inclusive workplace culture
Our job titles may span more than one career level. The starting annual base pay is between $175,000 and $225,000 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
