SECTION I · THE BRIEF
Brief #58524Updated 15 JUL 2025DALLAS, TXLeverFINANCIAL SERVICES COMPANIES
Employbl Company Profile

Director of Compliance

The Texas Stock Exchange focuses on helping US and global enterprises to have access to US equity capital markets, as well as providing a forum for trading and listing public corporations and the expanding universe of…

Location
Dallas, TX
Company size
50–100
Posted
1y ago
Via
Lever
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Director of Compliance · Texas Stock Exchange

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Job title
Director of Compliance
Job location
Dallas, TX
Job listing URL
https://jobs.lever.co/txse/c9d0818e-0123-444a-8227-fdd2e6b9cd28
Job description
Position Summary
TXSE is seeking an experienced and detail-oriented Director Compliance Officer to join our growing team in Dallas. This role is critical to ensuring compliance with applicable regulations, particularly those related to Regulation Systems Compliance and Integrity (Reg SCI). The ideal candidate has a strong background in financial markets, regulatory compliance, and risk management, with direct experience working at a broker-dealer or national securities exchange.
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

Nice to Haves:

  • Familiarity with Form 1 Filings
  • Previous experience with Rule 19b Filings
View job listing ↗
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Where this role is based

Dallas, TX

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Texas Stock Exchange headquarters

Dallas, TX

Company size

50–100 employees

Founded

2023

Total raised

$344,392,608

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Funding rounds