Regulation Associate/Counsel

| New York

About you:

  • Excellent written and verbal communication skills
  • Meticulous attention to detail
  • Intellectual curiosity

What you’ll do:

  • Assist with Regulation SCI compliance matters, including oversight of rules and compliance test battery
  • Respond to formal and informal regulatory inquiries from the SEC and other governmental regulators
  • SEC rule filings
  • Work with internal IEX teams on clearly erroneous execution issues, membership approval, error handling and firm-wide training
  • Oversight of FINRA’s performance of outsourced regulatory functions
  • Review and assess SEC filings and news releases of listed issuers to identify potential regulatory impact
  • Interface with listed issuers to assess materiality of pending news
  • Coordinate with IEX operations to assure that listed issuer corporate actions are processed properly
  • Contribute to development of written and oral communications to IEX senior management, board of directors and committees, and SEC staff
  • Work with internal and external resources to develop and implement technology tools to support listing compliance and market watch surveillance programs
  • Draft policies and procedures

Your background:

  • Minimum 5-10 years of experience in regulation, compliance or audit with a securities exchange, broker dealer, asset manager, market data vendor or clearing agency
  • Proven ability to successfully manage multiple complex projects with competing deadlines
  • Experience and subject matter expertise related to exchange regulatory and/or broker-dealer compliance
  • Familiarity with, or interest in learning about, equity macro and micro market structure 

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.

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Location

4 World Trade , New York , NY 10007
4 World Trade , New York , NY 10007

Perks of working here

401(K)
Commuter Benefits
Dental
Generous PTO
Happy Hours
Health Benefits
Some Meals Provided
Vision
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