Director of Compliance
On-siteDallas, Texas, United States
Dallas, Texas, United StatesOn-sitePart TimeSenior LevelStartup
Part TimeSenior LevelStartup
Job Summary
Oversee daily compliance operations ensuring adherence to Regulation Systems Compliance and Integrity (Reg SCI) and Reg NMS. Advise senior management on compliance issues and collaborate with Tech Ops, Market Ops, and Development teams. Manage the compliance program including Code of Ethics, Electronic Communications, and Policy Management. Prioritize experience with broker-dealer or exchange environments, familiarity with Form 1 and Rule 19b Filings, and a strong background in financial markets and risk management. Join TXSE's growing Dallas team to maintain regulatory integrity across operations.
Required Qualifications
- Strong working knowledge of Reg SCI and Reg NMS
- General understanding of compliance program (e.g., Code of Ethics, Electronic Communications, Policy Management, etc.)
- Ability to work with multiple groups within organization (e.g., Tech Ops, Market Ops, Dev, etc.)
- Ability to advise senior management on compliance issues
Desired Qualifications
- Previous exchange compliance experience or a working technical knowledge of operations of exchange preferred
- Familiarity with Form 1 Filings
- Previous experience with Rule 19b Filings
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