Compliance Analyst (Banking) jobs in Doylestown, PA

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.