MIAX has built a multi-disciplinary team of professionals with deep expertise in the trading industry, working to bring enhanced market structure, technological innovation and superior customer service to the exchange space. We offer a challenging and rewarding work environment with an entrepreneurial spirit and culture that emphasizes collaboration and teamwork while maintaining commitment to professional ethics.
MIAX continues to look for talented professionals to fill select roles throughout the company.
If you are interested in applying for a position, please send your resume, cover letter and salary requirements to hr@miaxglobal.com.
Princeton , New Jersey
MIAX is currently looking for a team oriented Compliance Analyst to join our Compliance Division. As a member of the Compliance Team, the analyst will be a part of a highly collaborative environment, working closely with team members to assist in administering the compliance program at MIAX, with a focus on the equity and options markets. The primary responsibility of the Compliance Team is to administer a compliance program that monitors the exchange trading systems for compliance with SEC and exchange rules and regulations.
Roles and Responsibilities include:
Liaise with Regulatory, Technology and Operations on systems changes and potential systems issues
Assist with Regulation SCI initiatives, including reporting of SCI events and systems changes
Support the incident management process with regards to MIAX ongoing compliance with regulatory requirements
Review, update and develop internal policies and procedures to identify potential areas to strengthen the compliance program
Assist in the preparation of responses to regulatory inquiries, inspections and examinations
Provide legal and regulatory guidance regarding exchange, SEC, and FINRA rules
Provide legal and regulatory guidance regarding market structure
Manage relationships with SEC regulators on behalf of the exchanges
Participate on industry-wide committees
Advise senior management on the regulatory impact of strategic initiatives
Qualifications
Bachelor’s degree (Finance, Computer Science, Engineering, Data Analytics or other related field preferred)
JD degree a plus
Four years professional experience in a Compliance, Product Management, or a Technology role within Capital Markets is preferred
Strong understanding of electronic trading systems is a plus
Strong understanding of Regulation SCI
SEC or SRO experience a plus
Strong knowledge of securities laws
Strong knowledge of equity and options market structure and trading rules/regulations
Strong product and/or project management skills
Strong knowledge of SDLC process
Working knowledge of issue and project tracking software applications (e.g., JIRA)
Ability to handle multiple tasks simultaneously and prioritize
Proficient computer skills with Microsoft Excel, PowerPoint, Word and Outlook. Advanced Excel skills and knowledge of business intelligence tools/applications highly desired.
If you are interested in applying for a position, please send your resume, cover letter and salary requirements to hr@miaxglobal.com.
Salary.com Estimation for Compliance Analyst in Princeton, NJ
$89,850 to $116,543
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