Full-Time

Compliance Officer

Options/Equity Trading

Confirmed live in the last 24 hours

ION Group

ION Group

5,001-10,000 employees

Provides trading and workflow automation software

Data & Analytics
Fintech

Mid

New York, NY, USA

Requirements
  • 3+ years of Compliance experience, ideally with a Broker-Dealer
  • Bachelor's Degree in a related field
  • Experience identifying compliance issues and operational risk concepts
  • Familiarity with SEC rules, FINRA rules, and U.S. equity and options exchange rules
Responsibilities
  • Support regular compliance testing and monitoring of policies and procedures
  • Prepare written policies and procedures and support remediation efforts of compliance
  • Assist in ongoing compliance training of the firm and orientation for new hires
  • Ensure all required regulatory filings are completed on a timely basis
  • Assist in connection with periodic testing, on-site regulatory examinations and ad-hoc inquiries

ION offers mission-critical trading and workflow automation software to financial institutions, corporations, central banks, and governments, enabling improved decision-making, simplified processes, and empowered teams. The company's strategic approach to automation and investments in research and development are shaping the future of automation technologies.

Company Stage

N/A

Total Funding

$42.1M

Headquarters

null, United Kingdom

Founded

1998

Growth & Insights
Headcount

6 month growth

6%

1 year growth

22%

2 year growth

25%

Benefits

Health, dental, and vision insurance

AD&D and disability insurance

Flexible spending account

Health savings account

Life insurance

Mental health care

401K plan

Performance bonus

Supplemental workers' compensation

Family medical leave & parental leave

PTO, paid holidays, sick days, bereavement leave, and volunteer time off

Commuter checks

Company social events

Employee assistance program

Free lunch

mobile phone discount