Position Summary
TXSE is seeking an experienced and detail-oriented 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.
Key Responsibilities
- Reg SCI
- E-Comm review
- Personal Account Trading review
- Procedure writing
- Training (annual and ad-hoc)
- Registration/ FINRA CRD
- Rule filings (long shot)
Required Qualifications
- 6+ years of experience in compliance, legal, or regulatory roles within a financial services firm, broker-dealer, or securities exchange.
- In-depth knowledge of Regulation SCI, SEC rules, and securities exchange operations.
- Experience managing compliance frameworks in a regulated, technology-driven environment.
- Excellent communication skills with the ability to interact effectively with regulators, internal stakeholders, and senior leadership.
- Strong analytical and organizational skills, with high attention to detail.
- Bachelor's degree in business, Law, Finance, or a related field (JD or advanced degree a plus).
Preferred Qualifications
- Prior experience working at a national securities exchange or with a broker-dealer registered with FINRA or the SEC.
- Familiarity with automated trading systems and market operations.
- Certifications such as CRCM, CAMS, or Series 7/24 are a plus.
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