Director of Compliance at TXSE (Dallas, TX)
TXSE· Dallas, TX·
Role details
Work type
Hybrid
Employment
Full-Time
Job description
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.
Requirements
- 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
Why work at TXSE
- Opportunity to be part of a historic launch of a new national securities exchange, with the chance to shape its culture and technology from the ground up.
- Hybrid and on-site roles available in Dallas, TX and New York, NY (roles include Site Reliability Engineer, Senior Systems Architect, Director of Compliance).
- Leadership team combines deep expertise in market structure, regulation, and corporate governance.
- Culture emphasizes transparency, competition, and long-term alignment with issuers and investors.
- Perks not explicitly detailed, but the exchange is well-capitalized and growing, suggesting competitive compensation and a dynamic startup-like environment within a regulated industry.