ION
Overview
Compliance Officer - Options/Equity Trading. 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. Responsibilities
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; confirm all associated persons and entities hold appropriate licenses and registrations. Ensure all required books and records are 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 and compliance issues. Report to and work closely with the Chief Compliance Officer on issues, problems, and sales practice. Qualifications
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. Preferred Skills and Qualifications
Juris Doctor (JD) or equivalent legal training in financial regulatory matters is highly desirable. FINRA compliance, broker-dealer operations, and US capital markets regulatory experience encouraged. Strong written and verbal communication skills, a can-do attitude, enthusiasm, and a strong aptitude for learning. Ability to prioritize workloads and complete tasks within well-defined guidelines and time constraints. Organizational skills and attention to detail. Analytical thinker with the ability to draw on a range of resources for high-quality outcomes. Series 7 and 63 registrations. Ability to collaborate with multiple business structures and manage different personalities. Ability to handle competing priorities, be self-directed, and manage workload. Teamwork, excellent communication, and analytical skills. Proficient in Word, Excel, Outlook, and PowerPoint. Regulatory experience. Competencies
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. ION solutions are trusted by over 2,000 organizations, including 50% of the Fortune 500 and 30% of the world’s central banks. Over 800 banks and broker-dealers use our electronic trading platforms. ION is a expanding group with 13,000 employees and offices in more than 40 cities. ION is committed to a diverse, inclusive environment and adheres to an equal employment opportunity policy.
#J-18808-Ljbffr
Compliance Officer - Options/Equity Trading. 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. Responsibilities
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; confirm all associated persons and entities hold appropriate licenses and registrations. Ensure all required books and records are 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 and compliance issues. Report to and work closely with the Chief Compliance Officer on issues, problems, and sales practice. Qualifications
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. Preferred Skills and Qualifications
Juris Doctor (JD) or equivalent legal training in financial regulatory matters is highly desirable. FINRA compliance, broker-dealer operations, and US capital markets regulatory experience encouraged. Strong written and verbal communication skills, a can-do attitude, enthusiasm, and a strong aptitude for learning. Ability to prioritize workloads and complete tasks within well-defined guidelines and time constraints. Organizational skills and attention to detail. Analytical thinker with the ability to draw on a range of resources for high-quality outcomes. Series 7 and 63 registrations. Ability to collaborate with multiple business structures and manage different personalities. Ability to handle competing priorities, be self-directed, and manage workload. Teamwork, excellent communication, and analytical skills. Proficient in Word, Excel, Outlook, and PowerPoint. Regulatory experience. Competencies
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. ION solutions are trusted by over 2,000 organizations, including 50% of the Fortune 500 and 30% of the world’s central banks. Over 800 banks and broker-dealers use our electronic trading platforms. ION is a expanding group with 13,000 employees and offices in more than 40 cities. ION is committed to a diverse, inclusive environment and adheres to an equal employment opportunity policy.
#J-18808-Ljbffr