---
title: 'Compliance Officer at IEX Group'
canonical: 'https://feeny.ai/job/compliance-officer-iex-group-new-york-0sj2zmdng5m1'
type: 'job'
last_seen: '2026-11-04'
---

# Compliance Officer at IEX Group

- **Company:** IEX Group
- **Location:** New York, NY
- **Posted:** 2026-10-15
- **Last confirmed live:** 2026-11-04
- **Apply:** https://iex.io/careers/apply?gh_jid=8237995

## Job description

## About IEX

IEX is an exchange operator and technology company dedicated to innovating for performance in capital markets. Founded in 2012, IEX launched a new kind of securities exchange in 2016 that combines a transparent business model and unique architecture designed to protect investors. Today, IEX applies its proprietary technology and experience to drive performance across asset classes, serve investors, and advocate for transparent and competitive markets.

## About the Role

IEX is looking for a self-motivated Compliance Officer to join our team and report to the Chief Compliance Officer. You'll help develop the policies and procedures that guide how we operate and conduct the monitoring and testing that confirm we follow them.

This is a hands-on role for someone who enjoys working across several areas of a compliance program. You'll collaborate with experts in Regulation, Risk, Legal, InfoSec, and Technology, learning from colleagues across the company as you tackle complex projects and develop practical solutions.

This is a hybrid role based in our New York office.

## What You'll Do

- Draft, manage, and advise on firm policies and procedures, including those for options.
- Build, run, and enhance compliance monitoring and testing, including drafting the controls we test against.
- Spot potential issues early and propose practical solutions.
- Work with Regulation, Risk, Legal, InfoSec, and Technology to implement and maintain effective policies and internal controls.
- Provide guidance on IEX policies, federal securities laws, and industry rules and regulations.
- Assist with regulatory exams, audits, and books and records obligations.
- Manage compliance projects from start to finish.
- Help build out the Compliance program as IEX enters the options market.
- Find ways to make compliance processes more efficient, including with AI tools.

## Your Background

- 5+ years in compliance at an exchange, broker-dealer, or trading firm.
- Experience with policies and procedures and with compliance monitoring and testing.
- Working knowledge of securities laws, FINRA, SEC and SRO rules, and AML.
- Strong issue-spotting skills and a habit of providing solutions.
- Ability to juggle multiple complex projects and own them to completion.
- Excellent communication and a collaborative, team-first style.
- Attention to detail, good judgment, and a "no task too big or small" attitude.
- Curiosity about market structure and technology, and a commitment to fair, transparent markets.

## Nice to Have

- Experience drafting (not just maintaining) policies and controls, or building a testing or monitoring program.
- Experience working with Technology teams.
- Equities and options experience.
- JD and bar admission.
- Series 7 and 24, 14 or willingness to obtain them.
- Experience with AI tools and compliance management software.

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

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

[Notice Regarding Use of Automated Employment Decision](https://cdn.prod.website-files.com/696f8ac812dcabe749e3aa49/6a160a88203a61c983e4e4d1_IEX%20Notice%20Regarding%20Use%20of%20AEDT%20for%20all%20job%20postings.pdf)

## About IEX Group

## Company Overview
- **One-liner**: IEX Group is a high-performance U.S. stock exchange operator and technology company dedicated to innovating for market integrity and investor protection.
- **Entity Type**: Private (operates a registered national securities exchange)
- **Headquarters**: New York, NY, USA (3 World Trade Center, 58th floor)
- **Founded**: 2012 (based on public history; IEX exchange launched in 2016)
- **Founders**: Brad Katsuyama (CEO), Ronan Ryan (COO), Rob Park (CTO)

## Core Business
- **Primary industry**: Financial services – stock exchange and trading technology; expanding into options exchange.
- **Target customers**: Institutional brokers, asset managers, retail brokers, and liquidity providers (B2B capital markets).
- **Mission/purpose**: "Think Big, Do Good" – level the playing field, protect investors, and improve market integrity through transparent, innovative trading solutions.

## Products & Services
- **IEX Exchange**: A U.S. stock exchange offering equitable, high-performance trading with unique features like the D-Limit (discretionary limit) order type. Top 3 in quote presence among 16 U.S. exchanges (Russell 3000). Notional value traded using D-Limit exceeded $8.6 trillion since inception.
- **IEX Options (coming soon)**: A new options exchange designed to arm liquidity providers with risk management technology and reduce adverse selection.

## Market Standing
- **Valuation/Market Cap**: Not publicly available (private company)
- **Key Metric**: $8.6 trillion notional value traded on IEX Exchange using D-Limit since inception; daily traded volume data disclosed quarterly.
- **Notable Investors/Partners**: IEX has strong relationships with brokers and investors across the financial industry. Board and advisory committees include diverse industry stakeholders.
- **Growth Signals**: Expanding into options exchange; maintaining top-3 quote presence; continuous innovation in order types and market structure.

## Competitive Advantages
- **Transparent, broker-neutral exchange model** – no conflict of interest from proprietary trading or data monetization.
- **Proprietary technology** – D-Limit and other innovative order types reduce information leakage and improve execution quality.
- **Proven track record** – $8.6 trillion notional traded on D-Limit demonstrates adoption by sophisticated market participants.
- **Culture of high performance** – attracts top engineering, product, and finance talent.

## Strategic Focus
- **Options launch** – entering the options market with a differentiated, technology-first offering.
- **Continued innovation** in market structure and order types to benefit all participants.
- **Talent growth** – building teams across engineering, data infrastructure, security, finance, and product.

## Why Work Here
- **Culture**: "Think Big, Do Good" – emphasis on innovation, growth mindset, resilience, and teamwork. Celebrated for diversity, equity, inclusion, and belonging.
- **Hybrid work**: Flexible environment – teams decide how and where to work (home, road, office).
- **Office**: NYC headquarters with stunning views, in-office gym (weights, Peloton, showers), and lunch-and-learns.
- **Benefits**:
  - 100% employer-paid medical, dental, vision premiums for employees, spouses, and dependents.
  - 16 weeks paid parental leave for primary and secondary caregivers.
  - Unlimited PTO with a flexible vacation policy.
  - $5,000 annual learning stipend + $1,000 non-profit donation match.
  - Competitive compensation packs (equity, bonus, 401k with company match).
  - One Medical membership covered.
- **Internal mobility**: Encouraged to learn across departments; internship and early career programs available.
- **Open roles** (as of search): Software Engineer for Test, Market Operations Specialist (Options), Commercial Counsel, Senior Data Infrastructure Engineer, Senior Software Engineer, FP&A Associate, Senior Network Engineer, Senior Systems Reliability Engineer, Risk Management Associate.

## Sources
1. [iex.io – Home](https://www.iex.io/)
2. [iex.io – About Us](https://www.iex.io/about)
3. [iex.io – Careers](https://www.iex.io/careers)
4. [iex.io – Benefits Guide](https://www.iex.io/article/iex-benefits-package)
5. [LinkedIn – IEX Group Open Positions](https://www.linkedin.com/company/iex-group-inc-)

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