Director of Compliance
Dallas, Texas, United States of America
Full Time
1 hour ago
No Visa Sponsorship
About this role
Role Overview
- Ensuring compliance with applicable regulations, particularly those related to Regulation Systems Compliance and Integrity (Reg SCI)
- Advise senior management on compliance issues
- Collaborate with multiple groups within the organization
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
- Familiarity with Form 1 Filings
- Previous experience with Rule 19b Filings