Regulatory Associate-Corporate Actions

IEX is looking for a market regulation professional to join our expanding regulatory team. The ideal candidate will have experience handling corporate actions with a securities exchange, broker dealer, asset manager, market data vendor or clearing agency or alternatively will have related industry experience with the impact of corporate actions on securities transactions or otherwise. In addition, the candidate should be familiar with the impact of corporate news announcements on the trading activity of companies listed on IEX. The successful candidate must be a self-starter with extensive subject matter expertise, excellent communication skills, meticulous attention to detail, and an appetite for fast-paced work in a highly dynamic teamwork oriented startup environment.

Primary Responsibilities

  • Act as key resource and primary point of contact for IEX listed companies and their representatives (including investment bankers and/or outside counsel) for planned or announced corporate actions
  • Ensure timely and accurate processing of corporate actions announced by IEX listed issuers, including dissemination of all required data to industry participants
  • Coordinate processing of corporate actions with industry participants including exchanges, DTCC, data vendors and the Securities and Exchange Commission
  • Conduct timely reviews of material news announcements, advise Regulation management on appropriate action plan, including whether to implement a temporary trading halt prior to the public dissemination of material news
  • Monitor trading activity in IEX listed securities in real-time to identify aberrant trading activity, contact the company to review the activity and assess whether to implement a temporary trading halt
  • Coordinate with IEX Market Operations and data vendors regarding reporting of clearly erroneous errors and aberrant trades
  • Conduct reviews to identify trading activity that may be violative of IEX rules or the Federal Securities Laws
  • Contribute to development of written policies and procedures addressing corporate actions processing, reviews of trading activity and trading halt assessments
  • Work with internal and external resources to develop and implement technology tools to support corporate actions and trading surveillance programs
  • Participate in special projects to implement industry initiatives impacting trading and corporate actions
  • Perform other regulatory responsibilities as assigned, including oversight of FINRA’s performance of regulatory functions on behalf of IEX, membership due diligence, Regulation SCI compliance reviews

Job Qualifications

  • Minimum 5-10 years of experience in regulation, compliance or audit with a securities exchange, broker dealer, asset manager, market data vendor or clearing agency 
  • Experience and subject matter expertise related to securities operations, corporate action processing, trading product compliance and/or market regulation 
  • Proven ability to successfully manage multiple complex projects with competing deadlines
  • Hard working, strong team player with excellent written and verbal communication skills
  • Undergraduate degree preferred

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