Requirements
- Strong working knowledge of Reg SCI and Reg NMS
- General understanding of compliance program (e.g., Code of Ethics, Electronic Communications, Policy Management, etc.)
- Previous exchange compliance experience or a working technical knowledge of operations of exchange preferred
- Ability to work with multiple groups within organization (e.g., Tech Ops, Market Ops, Dev, etc.)
- Ability to advise senior management on compliance issues
- Familiarity with Form 1 Filings
- Previous experience with Rule 19b Filings
Nice to Haves:
Skills Required
- Strong background in financial markets, regulatory compliance, and risk management
- Direct experience working at a broker-dealer or national securities exchange
- Strong working knowledge of Reg SCI
- Strong working knowledge of Reg NMS
- General understanding of compliance program (Code of Ethics, Electronic Communications, Policy Management, etc.)
- Ability to work with multiple groups within organization (Tech Ops, Market Ops, Dev, etc.)
- Ability to advise senior management on compliance issues
- Previous exchange compliance experience or working technical knowledge of operations of exchange
- Familiarity with Form 1 Filings
- Previous experience with Rule 19b Filings
What We Do
The Texas Stock Exchange (TXSE) aims to revitalize competition for issuers, establish the premier venue for listings, and create a world-class trading platform for all market participants. TXSE Group Inc is the parent company of the Texas Stock Exchange LLC. TXSE is headquartered in Dallas and plans to serve U.S.-based and international issuers, investors, and market participants. TXSE will offer both primary, dual, and ETP listings. With an initial capital raise of $161 million, TXSE is the most well-capitalized exchange to ever file a Form 1 with the U.S. Securities and Exchange Commission. TXSE is on track to receive SEC approval later this year and to begin trading in early 2026, with listings by the end of the same year.
