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Director of Compliance at Texas Stock Exchange in Dallas, TX
Skills
Job Description
Position Summary
TXSE is seeking an experienced and detail-oriented Director Compliance Officer to join our growing team in Dallas. This role is critical to ensuring compliance with applicable regulations, particularly those related to Regulation Systems Compliance and Integrity (Reg SCI). The ideal candidate has a strong background in financial markets, regulatory compliance, and risk management, with direct experience working at a broker-dealer or national securities exchange.
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
Nice to Haves:
Familiarity with Form 1 Filings
Previous experience with Rule 19b Filings