What are the responsibilities and job description for the Director of Compliance position at TXSE?
Position Summary
TXSE is seeking an experienced and detail-oriented Director Compliance Officer to join our growing team in Dallas. This role is critical to ensuring compliance with applicable regulations, particularly those related to Regulation Systems Compliance and Integrity (Reg SCI). The ideal candidate has a strong background in financial markets, regulatory compliance, and risk management, with direct experience working at a broker-dealer or national securities exchange.
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- Strong working knowledge of Reg SCI and Reg NMS
- General understanding of compliance program (e.g., Code of Ethics, Electronic Communications, Policy Management, etc.)
- Previous exchange compliance experience or a working technical knowledge of operations of exchange preferred
- Ability to work with multiple groups within organization (e.g., Tech Ops, Market Ops, Dev, etc.)
- Ability to advise senior management on compliance issues
Nice to Haves:
- Familiarity with Form 1 Filings
- Previous experience with Rule 19b Filings