Regulation Associate

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 results 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 growth in other areas. 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 the Role

IEX Regulation is looking for a high energy associate to join the IEX Regulation team. This is a hands-on role for someone with 5-10 years of experience in a compliance, regulation, or an operational role with an exchange or financial services firm. This role will report to the Head of Regulatory Operations and play a significant role in IEX Regulation's performance of key regulatory obligations. This is a hybrid role with the expectation of being in the office at least 3 days per week.

What You’ll Do

• Review applications for IEX Equities and/or Option membership and support all aspects of member onboarding

• Perform reviews of underlying securities to determine eligibility for options listing/trading

• Perform periodic review of market quality reports and regulatory reports regarding compliance with IEX rules and federal securities laws to identify potential compliance concerns and escalate as appropriate

• Assist in developing new or enhancing existing regulatory and compliance reports, including working across internal teams to develop report requirements and specifications

• Monitor and track timelines and deliverables across a broad range of initiatives

• Review exchange traded products and draft and disseminate product circulars for trading the products under unlisted trading privileges

• Work cross-functionally to draft and disseminate trading alerts and other communications to members

• Assist with responding to regulatory inquiries, exams, and audits or internal audit examination requests

• Assist with special projects as needed

• 5-10 years of experience in regulation, compliance, or an operational role within an exchange or a financial services firm

• Ability to understand financial statements

• Familiarity with audit and compliance procedures within the financial services industry

• Experience with collaboration and building relationships cross functionally

• Experience in managing multiple tasks/deadlines in a fast-paced environment

• Ability to manage multiple tasks and deadlines in a fast-paced environment.

• Technically savvy

• Passion for financial markets, trading, market structure, and regulatory compliance

Why you should apply

• ComprehensiveBenefits
• Unlimited PTO
• 100% coverage for medical, dental, and vision
• New hire stock equity (RSUs)
• 401K employer match
• OneMedical membership
• 16 weeks paid parental leave
• Flexible workplace
• Employer charity match
• Learning stipend
• Commuter benefits
• Jump Start onboarding program
• Internal mentor program cross-departmentally
• Friendly and inclusive workplace culture

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

Our job titles may span more than one career level. The starting annual base pay is between $125,000 and $175,000 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.