Compliance Officer - Options/Equity Trading - 9821 at ION Group

Jersey City, New Jersey, United States

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$110,000 – $130,000Compensation

Mid-level (3 to 4 years), Senior (5 to 8 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, FinTechIndustries

Requirements

Candidates should possess 3+ years of Compliance experience, ideally with a Broker-Dealer, and a Bachelor’s degree in a related field. Experience identifying compliance issues and operational risk concepts is required, along with familiarity with SEC rules, FINRA rules, and U.S. equity and options exchange rules.

Responsibilities

The Compliance Officer will support regular compliance testing and monitoring of policies and procedures, prepare written policies and procedures, assist in ongoing compliance training, ensure all required regulatory filings are completed, and ensure all required books and records are properly maintained. They will also proactively identify potential compliance issues and problems, report to and work closely with the Chief Compliance Officer, and assist in connection with periodic testing, on-site regulatory examinations, and ad-hoc inquiries.

Skills

Compliance Testing

Policy Development

Regulatory Filings

SEC Compliance

Personal Trading Surveillance

Books and Records Management

Compliance Training

Risk Identification

Sales Practices Review

Regulatory Examinations

ION Group

Automation technology for financial sector clients

About ION Group

ION Group specializes in automation technology tailored for the financial sector, primarily serving institutional clients like investment banks, asset managers, and brokers. The company provides advanced software solutions that enhance trading, processing, and risk management activities in global financial markets. ION's products include sophisticated software platforms and APIs that enable clients to connect seamlessly to various trading venues and exchanges, ensuring efficient and accurate transactions. Unlike many competitors, ION stands out by acquiring entrepreneurial firms, which allows it to remain agile and responsive to market changes. The company's goal is to enhance efficiency and reduce operational risks for its clients through automation and innovative technology.

London, United KingdomHeadquarters

1998Year Founded

$426.5MTotal Funding

GROWTH_EQUITY_VCCompany Stage

Enterprise Software, FintechIndustries

5,001-10,000Employees

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

Risks

Complexity in consolidating trading platforms may lead to operational inefficiencies.

US Treasury market's clearing mandate could impose significant compliance costs.

Potential global tariffs by Trump administration may disrupt ION's global operations.

Differentiation

ION Group specializes in automation technology for the financial sector.

The company offers sophisticated software platforms and APIs for seamless trading.

ION Group constantly innovates to enhance efficiency and reduce operational risks.

Upsides

Increased demand for automation drives innovation in AI-driven trading platforms.

The rise of DeFi creates opportunities for blockchain integration in financial services.

Growing importance of ESG criteria pushes adoption of efficient reporting tools.

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