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Regulation Counsel

| Greater NYC Area
 

About you:

  • Hard working, strong team player with excellent written and verbal communication skills
  • Self-starter with appetite for a fast-paced environment
  • Intellectual curiosity
  • Meticulous attention to detail

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
  • 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 listing and 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
  • 5+ years of experience and subject matter expertise related to exchange regulation, trading, public company SEC filings, and/or broker-dealer compliance
  • Familiarity with market structure issues and Regulation SCI

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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Technology we use

  • Engineering
    • JavaLanguages
    • PythonLanguages
    • Node.jsFrameworks

Location

4 World Trade , New York , NY 10007

What are IEX Group Perks + Benefits

Health Insurance & Wellness Benefits
Dental Benefits
Vision Benefits
Health Insurance Benefits
Retirement & Stock Options Benefits
401(K)
Vacation & Time Off Benefits
Generous PTO
Perks & Discounts
Commuter Benefits
Some Meals Provided
Happy Hours

Additional Perks + Benefits

100% covered One Medical membership. 100% employer-paid premiums for medical, dental, and vision benefits (including spouses and dependents). Pre-tax Commuter benefits, Flexible Spending Account, and Dependent Care Spending Account. 20 paid vacation days. Bagel Friday's, happy hours, potluck competitions, and much more! Focused on providing a diverse and inclusive workplace.

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