Chief Executive Officer (CEO) – New York City, United States

Location: New York City, United States 

Employment Type: Full‑time

Number of Openings: 1

Salary: Competitive annual salary 

Job Overview

The CEO will lead a premier exchange platform, directing market infrastructure, regulatory compliance (including FINRA), and strategic growth. This role blends executive leadership with deep expertise in securities market operations, ensuring the exchange remains innovative, reliable, and fully compliant.

Key Responsibilities

• Define and execute the long‑term strategic vision for the exchange, aligning it with market trends, technology advancements, and stakeholder expectations.

• Oversee all market‑infrastructure functions, including trading systems, clearing & settlement, connectivity, and data services.

• Lead compliance initiatives with a focus on FINRA rules, SEC regulations, and other relevant securities‑industry standards.

• Drive international expansion while ensuring cross‑border regulatory alignment and market‑entry compliance.

• Manage mergers & acquisitions, integration of technology platforms, and strategic partnerships that enhance market liquidity.

• Promote ethical leadership, corporate social responsibility, and a culture of transparency across the organization.

• Maintain and deepen relationships with regulators, industry participants, investors, and board members.

• Implement data‑driven decision‑making practices to optimize trading performance, risk management, and operational efficiency.

• Lead talent acquisition, succession planning, and development programs to build future exchange leaders.

• Represent the exchange at industry conferences, public forums, and media engagements.

• Ensure the exchange’s technology roadmap supports high‑availability, low‑latency trading and robust cybersecurity.

Essential Qualifications

• 10–15 years of senior executive experience, with at least 5 years in a chief‑executive or equivalent role within a securities exchange, clearinghouse, or related market‑infrastructure organization.

• Demonstrated expertise in FINRA compliance, SEC rules, and other regulatory frameworks governing U.S. securities markets.

• Proven track record of leading large‑scale market‑technology projects and overseeing trading platform operations.

• Strong strategic planning, financial oversight, and operational management capabilities.

• Exceptional communication, public speaking, and stakeholder‑management skills.

• High ethical standards, critical thinking, and a data‑driven approach to problem solving.

• Advanced degree (MBA, JD, or related) is preferred but not mandatory.

Desired Experience

• Extensive experience with market infrastructure components: order‑routing, market data dissemination, clearing & settlement, and surveillance systems.

• Direct involvement in FINRA examinations, rule‑making processes, or other regulatory engagements.

• Successful leadership of business development, international expansion, and M&A activities in the exchange ecosystem.

• Experience building high‑performing, geographically dispersed teams in a fast‑changing technology environment.

• Demonstrated ability to drive revenue growth while maintaining strict compliance standards.

Key Skills

Business Development, Communication, Compliance, Corporate Social Responsibility, Critical Thinking, Data‑Driven Decision Making, Ethical Leadership, Financial Management, International Expansion, Interpersonal Skills, Leadership, Market Research, Mergers & Acquisitions, Operations Management, Problem Solving, Public Speaking, Stakeholder Management, Strategic Planning, Succession Planning, Talent Acquisition, Market Infrastructure, FINRA Compliance, Exchange Operations.

Salary & Benefits

• Competitive annual base salary, commensurate with experience.

• Performance‑based bonus and equity participation tied to exchange performance metrics.

• Comprehensive health, dental, and vision insurance.

• Retirement savings plan with company matching contributions.

• Generous paid time off, parental leave, and flexible work‑arrangement options.

• Executive education and professional development budget for continued learning.

• Relocation assistance for candidates moving to New York City.

Application Process

Qualified candidates should submit a resume and a cover letter outlining their vision for the exchange, highlighting specific FINRA and market‑infrastructure leadership experience. Applications are to be sent to sam@spearpointsearch.com. Only shortlisted applicants will be contacted for further discussion.

This search is conducted by Spear Point Search: The Search Firm For Capital Markets.

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