Regulation Counsel
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 and achieve better execution quality 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 the growth in other areas, including our recent announcement of our plans to launch an IEX options exchange. 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!
About you:
- Hard working, strong team player with excellent written and verbal communication skills
- Self-starter with appetite for a fast-paced environment
- Strong strategic thinker with meticulous attention to detail
- Keen interest in equity derivatives market structure and functionality
- Firm dedication to the core values of IEX – belief in fairness and transparency in the financial markets
What you’ll do:
Support Chief Regulatory Officer in all aspects of the Investors Exchange regulatory program, including:
- Develop and prepare Securities and Exchange Commission (SEC) rule filings and other submissions to accomplish regulatory and business goals, including advocacy efforts with the SEC for approval or effectiveness, working closely with Lead Regulation Counsel
- Provide regulatory guidance regarding compliance with IEX rules and applicable federal securities laws and rules
- Work closely with Legal and Compliance to implement and maintain effective internal controls designed to reasonably assure rule and system compliance
- Respond to formal and informal regulatory inquiries from the SEC and other governmental regulators, working collaboratively with internal IEX teams
- Provide regulatory guidance to internal and external constituencies regarding membership matters, including with respect to interpretative issues.
- Participate in industry working groups including NMS Plans and other initiatives
- Provide regulatory guidance on new and existing business initiatives to IEX senior management
- Assist in development and application of internal surveillance systems
- Assist with oversight of FINRA’s performance of outsourced regulatory functions
- Contribute to development of written and oral communications to IEX senior management, board of directors and committees, and SEC staff
- Draft policies and procedures
Your background:
- Law degree from accredited law school and admission to bar of any state or District of Columbia
- 10+ years of experience and subject matter expertise related to exchange regulation, trading, and/or broker-dealer compliance. Familiarity with market structure issues and Regulation SCI
- Government experience a plus
- Experience with options trading a plus
Why You Should Apply:
- Comprehensive Benefits
- New hire stock equity (RSUs)
- 401K employer match
- Unlimited PTO
- 100% coverage for medical, dental, and vision
- OneMedical membership
- 16 weeks parental leave
- Wellness Benefits
- 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 $250,000 and $325,000 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 laws and protects workers' rights but is vital to IEX’s overall mission and values.
