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    Compliance Officer Options/Equity Trading – - Jersey City, United States - ION

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    Full time
    Description
    About Us DASH Financial Technologies, part of ION Group, is the top US options technology and execution provider. We offer customizable routing and order management solutions to financial institutions, along with real-time visualization of order routing transparency.

    The Role The Compliance Officer is a crucial member of our DASH Compliance team. Compliance professionals play a key role in guiding business decisions in a dynamic regulatory landscape, resolving issues across the organization, providing training on relevant regulations, communicating effectively with industry and regulatory professionals, both internally and externally. This position offers a unique opportunity to deepen your knowledge of options and equities regulations, work closely with the Chief Compliance Officer of Dash, and advance your career. The salary range for this position is estimated to be between $110,000 - $130,000, negotiable based on experience and skills.

    Key Responsibilities

    • Support regular compliance testing, monitoring of policies and procedures
    • Develop written policies and procedures, support compliance remediation efforts
    • Assist in compliance training and orientation for new hires
    • Ensure timely completion of regulatory filings and maintenance of licenses
    • Maintain required books and records according to SEC requirements
    • Assist with regulatory examinations and identify potential compliance issues
    • Collaborate closely with the Chief Compliance Officer

    Required Skills, Experience and Qualifications

    • 3+ years of Compliance experience, ideally in a Broker-Dealer setting
    • Bachelor's Degree in a related field
    • Proficiency in SEC rules, FINRA rules, and equity and options exchange rules

    Preferred Skills and Qualifications

    • Strong written and verbal communication skills
    • Ability to prioritize work effectively and meet deadlines
    • Excellent organizational skills and attention to detail
    • Analytical thinker with a focus on high-quality outcomes
    • Series 7 registration preferred
    • Collaborative and adaptable
    • Ability to handle competing priorities and make decisions independently
    • Team player with strong communication and analytical skills
    • Proficiency in Word, Excel, Outlook, and PowerPoint
    More About ION Group ION Group, a diverse team of visionary innovators, provides trading and workflow automation software, high-value analytics, and strategic consulting to various institutions worldwide. With over 2,000 corporate clients, including 50% of the Fortune 500, and 30% of global central banks trusting ION solutions, we are at the forefront of financial technology. Additionally, over 800 banks and broker-dealers rely on our electronic trading platforms. ION's global presence, innovative products, and diverse customer base offer a remarkable career journey for those who align with our vision. ION values diversity and inclusivity, fostering an environment that recognizes and respects individuals' unique backgrounds and experiences. We adhere to an equal employment opportunity policy, prohibiting discriminatory practices to ensure a supportive and inclusive workplace environment.


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