Compliance Officer


LEX Markets is a venture-backed fintech startup conducting securities offerings of commercial real estate buildings. LEX provides a new source of capital to property owners while giving retail investors new access to quality real estate investments.

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.


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 with subject line Compliance Officer. Only applications sent directly to the careers email will be reviewed.

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LEX Markets Corp. is an Equal Opportunity Employer