Compliance Officer - Options/Equity Trading

The Role:

We are seeking an experienced Compliance Officer with a strong background in financial services, specifically within broker-dealer operations, US capital markets, and FINRA regulatory oversight. This role is critical in ensuring compliance with the SEC and FINRA regulations and supporting the firm's regulatory initiatives. 

• Support regular compliance testing and monitoring of policies and procedures including: personal trading; outside business activities; gifts and entertainment; registrations and filings; sales practice; and, operations
• Prepare written policies and procedures and support remediation efforts of compliance
• Assist in rule reviews of all U.S. options and equities exchanges along with FINRA and the SEC
• Assist in ongoing compliance training of the firm and orientation for new hires
• Ensure all required regulatory filings are completed on a timely basis and updated as necessary and confirm all associated persons and entities hold appropriate licenses and registrations
• Ensure all required books and records and properly maintained pursuant to SEC requirements
• Assist in connection with periodic testing, on-site regulatory examinations and ad-hoc inquiries
• Work proactively to identify potential problems & compliance issues
• Will report to and work closely with the company's Chief Compliance Officer as to issues, problems, and sales practice.

• 4 years of Compliance experience with a Broker-Dealer or an Investment Adviser / Broker-Dealer, Compliance Consulting firm, or Bank.
• Bachelor's Degree in a related field required.
• Familiarity with SRO rules and regulations, regulatory filings, compliance technology platforms, and risk management frameworks.
• Experience identifying compliance issues and operational risk concepts.
• Strong understanding of SEC, FINRA and U.S. options and equity exchange rules.

• Juris Doctor (JD) or equivalent legal training in financial regulatory matters is highly desirable.
• Candidates with FINRA compliance, broker-dealer operations, and US capital markets regulatory experience are strongly preferred.
• Strong written and verbal communication skills, a can-do-attitude, enthusiasm, and a strong aptitude for learning.
• The ability to effectively prioritize workloads and complete tasks within well-defined guidelines and time constraints is essential.
• Organizational skills and attention to detail are critical given the nature of paperwork, processes, and work, upon which both clients and the Firm depend.
• This person is an intelligent, analytical thinker with the ability to draw on a range of resources to ensure a high-quality outcome across the position responsibilities.
• Series 7 and 63 registrations.
• Ability to collaborate and interact with multiple business structures and the temperament and skill to manage different types of personalities
• Ability to handle competing priorities, be self-directed and able to manage workload and make decisions
• Teamwork, excellent communication and analytical skills are essential
• Proficient in Word, Excel, Outlook, and PowerPoint
• Regulatory experience

• Written communication
• Communicativeness
• Problem solving & decision making
• Industry knowledge
• Functional/technical expertise
• High standards
• Integrity

Salary Range: 

The estimated salary range is $110,000 - $130,000. Salary is negotiable depending on experience and skills.

About Us:

We’re a diverse group of visionary innovators who provide trading and workflow automation software, high-value analytics, and strategic consulting to corporations, central banks, financial institutions, and governments. Founded in 1999, we’ve achieved tremendous growth by bringing together some of the best and most successful financial technology companies in the world.

Over 2,000 of the world’s leading corporations, including 50% of the Fortune 500 and 30% of the world’s central banks, trust ION solutions to manage their cash, in-house banking, commodity supply chain, trading and risk.

Over 800 of the world’s leading banks and broker-dealers use our electronic trading platforms to operate the world’s financial market infrastructure.

ION is a rapidly expanding and dynamic group with 13,000 employees and offices in more than 40 cities around the globe,

Our ever-expanding global footprint, cutting edge products, and over 40,000 customers worldwide provide an unparalleled career experience for those who share our vision.

ION is committed to maintaining a supportive and inclusive environment for people with diverse backgrounds and experiences. We respect the varied identities, abilities, cultures, and traditions of the individuals who comprise our organization and recognize the value that different backgrounds and points of view bring to our business. ION adheres to an equal employment opportunity policy that prohibits discriminatory practices or harassment against applicants or employees based on any legally impermissible factor.

Salary : $110,000 - $130,000