Compliance Officer

Overview

LEX Markets is a venture-backed startup offering retail investors the opportunity to invest in individual commercial real estate properties. LEX is in the final stages of applying for FINRA membership as a new broker dealer. Upon approval, LEX’s broker dealer will operate (a) an investment banking division, (b) a retail introducing broker dealer, and (c) an Alternative Trading System.

Job Description

LEX seeks a generalist compliance officer to handle day-to-day compliance procedures across all of those divisions, including:

  • Electronic communications surveillance
  • AML/KYC surveillance
  • Trade surveillance
  • FINRA portal maintenance and filings 
  • CAT and OATS submission monitoring
  • Personal account monitoring
  • Limited trade support
  • Review, test, and recommend improvements to internal procedures
  • Identify potential risks
  • Maintain regulatory knowledge
  • Educate staff
  • Other responsibilities as assigned.


Qualifications

You're the ideal candidate if you have:

  • 2-5 years of compliance experience at a FINRA member broker dealer, preferably with retail customers, or at FINRA or SEC OCIE
  • Active Series 14 registration or ability to pass Series 14 exam within 60 days
  • A bachelor’s degree from an accredited college or university


Additionally, you will preferably:

  • Be able to work independently and self-direct, take initiative and be proactive.
  • Be a team player
  • Be growth oriented
  • Have experience or interest in start ups and fintech
  • Be interested in securities regulations as it relates to issuance and trading

Location is remote only until COVID-related best practices permit return to our offices in midtown Manhattan. Position reports directly to the CCO and is currently the sole compliance employee other than the CCO. 


To apply, please send a resume and cover letter to careers@LEX-markets.com with subject line Compliance Officer. Only applications sent directly to the careers email will be reviewed.


Visit us at LEX-Markets.com


LEX Markets Corp. is an Equal Opportunity Employer