Job summary
Job post source
This job is directly from Texas Stock Exchange | TXSE Group Inc
Job overview
The Compliance Officer role at TXSE Group Inc involves ensuring regulatory compliance, particularly with Regulation Systems Compliance and Integrity, to support the company's adherence to financial market regulations.
Responsibilities and impact
The Compliance Officer will manage Reg SCI compliance, conduct E-Comm and Personal Account Trading reviews, write procedures, provide training, handle registration and FINRA CRD processes, and possibly manage rule filings.
Experience and skills
Candidates must have 6+ years in compliance or regulatory roles in financial services, broker-dealers, or securities exchanges, with strong knowledge of Regulation SCI, SEC rules, and compliance frameworks; a bachelor's degree is required, with advanced degrees or certifications preferred.
Job location and travel
The position is based in Dallas, Texas, at TXSE Group Inc.
Company overview
Texas Stock Exchange (TXSE Group Inc) is a newly established stock exchange headquartered in Dallas, Texas, aiming to provide an alternative trading venue for public companies, particularly those seeking a more business-friendly regulatory environment than traditional exchanges like NYSE and Nasdaq. TXSE plans to generate revenue through listing fees, transaction charges, and market data services, targeting both large-cap and mid-cap companies, as well as exchange-traded products. The company has attracted significant backing from institutional investors, including BlackRock and Citadel Securities, reflecting strong industry confidence in its mission. TXSE’s launch is notable for its focus on leveraging Texas’s pro-business climate and for responding to growing demand for diversified listing options in the U.S. capital markets. Candidates should be aware that TXSE is positioning itself as a disruptive force in the financial sector, aiming to reshape how companies access public capital.
How to land this job
Tailor your resume to emphasize your 6+ years of experience in compliance, regulatory roles, or legal positions within financial services, broker-dealers, or securities exchanges, highlighting your expertise with Regulation SCI and SEC rules.
Showcase your knowledge of compliance frameworks, risk management, and experience working in technology-driven, regulated environments, along with your skills in procedure writing, training, and regulatory filings.
Apply through multiple platforms including the Texas Stock Exchange corporate site, LinkedIn, and relevant financial job boards to maximize your application visibility.
Connect on LinkedIn with compliance team members or regulatory affairs professionals at TXSE Group Inc, using ice breakers like commenting on recent regulatory changes or asking about their experience managing Reg SCI compliance.
Optimize your resume for ATS by incorporating keywords such as 'Regulation SCI,' 'FINRA CRD,' 'compliance framework,' 'risk management,' and 'securities exchange operations' directly from the job description.
Leverage Jennie Johnson's Power Apply feature to automate tailoring your resume, finding all relevant application portals, and identifying LinkedIn contacts to network with, allowing you to focus your energy on preparing for interviews and further learning.
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